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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM under $100M

E•••••• F•••••••• L••

CRD 325189

KATY, TX

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Search this name across graphsid dfx:ria:1c4463fe-f583-615f-340f-5ba4cf4069af

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2026 to Mar 19, 2026
1 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $10.6MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• E••• M•••••••••	n/a	KATY, TX	3	23	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• R•••• E•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	03/2023	Mar 19, 2026	Mar 19, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$10.6M	$10.6M	1	1	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$10.6M	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (1)

← M••••••••• R•••• E•••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 19, 2026 to presentfactForm ADV

Registered with (2)

← R••• E••• M•••••••••Advisorregistration: current employment
Mar 29, 2023 to presentfactForm ADV
← RODNEY EDWARD JAMESAdvisorregistration: previous registration
Mar 28, 2023 to Apr 5, 2023factForm ADV

Dated events

Occurred
Apr 5, 2023
Advisor departed, no destination yet
Rodney Edward James no longer registered at E•••••• F•••••••• L••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c4463fe-f583-615f-340f-5ba4cf4069af
First observed: Mar 19, 2026
Last observed: Mar 19, 2026 6 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.