DFX Intelligence

S•• M••••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•• M••••••••• L•

CRD 173690

FRISCO, TX

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Search this name across graphsid dfx:ria:0b442a1a-b51b-2340-d144-f75ee551fa5f

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 5
On other graphs: 0
Observed: Mar 9, 2022 to Mar 28, 2025
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $232M••• Locked
Discretionary RAUM: $232M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• T•••••• L•	MANAGING MEMBER	D	yes	02/2022	Mar 9, 2022	Mar 29, 2024
C•••••••• T•••••• L•	SOLE SHAREHOLDER	E	yes	02/2022	Mar 9, 2022	Mar 29, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 28, 2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$232M	$227M	2.2%	n/a	n/a	4	4	0	0

Relationships

Registered with (2)

← T••••• L••••••• C•••••••Advisorregistration: previous registration
Jan 12, 2015 to Feb 4, 2026factForm ADV
← J••••• V•• L•••••••Advisorregistration: previous registration
May 1, 2018 to Oct 13, 2021factForm ADV

Controls (5)

← C•••••••• T•••••• L•OwnerMANAGING MEMBER, ownership code D, individual
Mar 9, 2022 to Mar 29, 2024factForm ADV
← M••••••• J•••••••• S•••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2022
Succession filed (Item 4)
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b442a1a-b51b-2340-d144-f75ee551fa5f
First observed: Mar 9, 2022
Last observed: Mar 28, 2025 18 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.