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CRD 288199
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-21 (filing); first seen by DFX 2026-09-15.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| U•• W••••• P•••••• C••••• S••••• | Other Private Fund | $18.7M | Mar 30, 2026 | 89 | Mar 30, 2022 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••••• K••••• L••••• | CHIEF FINANCIAL OFFICER AND COMPLIANCE | Na | yes | 08/2022 | Mar 30, 2026 | Mar 30, 2026 |
| K•••• D••••• M•••••• | PRESIDENT AND MANAGING PARTNER | Na | yes | 08/2024 | Mar 30, 2026 | Mar 30, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••• I••••••••• M••••••••• L• | n/a | Asset manager | $928M | N | yes | n/a |
| U••• A•••• M••••••••• L•• | n/a | Asset manager | $132M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Austin | TX | United States | 15 | yes |
| Dallas | TX | United States | 9 | yes |
| Andover | Ma | United States | 3 | no |
| NEW YORK | NY | United States | 2 | no |
| Georgetown | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 8 | -4 | n/a | 0 | 7 | 0 | 14 | 14 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $8.8B | $7.3B | 20.3% | $6.5B | 10.5% | 141 | 133 | 7 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••• A••••••• P••••••• | 2 | Aug 21, 2026 | Aug 20, 2026 | HOUSTON, TX | Team lift out | Ibd to ibd | 100.0% |
| U••• A•••• M••••••••• L•• | 2 | Jul 21, 2026 | Oct 26, 2023 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• C••••••• L•• | 2 | Feb 24, 2025 | Jan 29, 2025 | HOUSTON, TX | Team lift out | RIA to ibd | 13.3% |
| L•••••• W••••• M••••••••• L•• | 3 | Dec 31, 2024 | Jan 13, 2025 |
| CHIEF OPERATIONS OFFICER OFFICER |
| Na |
| yes |
| 10/2018 |
| Mar 30, 2026 |
| Mar 30, 2026 |
| U••• C•••••• W•••••• L•• | Owner | E | yes | 04/2024 | Mar 30, 2026 | Mar 30, 2026 |
| A••• B••••••• T•••• | Member | E | yes | 03/2023 | Apr 12, 2024 | Aug 26, 2024 |
| A••• I••••••••• P•••••••• L•• | Member | E | yes | 06/2023 | Apr 12, 2024 | Aug 26, 2024 |
| A••• M••••• L•• | Member | E | yes | 06/2023 | Apr 12, 2024 | Aug 26, 2024 |
| A••• W••••• M••••••••• L•• | Member | E | yes | 02/2024 | Apr 12, 2024 | Aug 26, 2024 |
| B••••••• E••••••••• C••••••• | DIRECTOR OF LEGAL AND COMPLIANCE | Na | yes | 04/2023 | Apr 7, 2023 | Aug 26, 2024 |
| F••••••••• J••••• P•••••• | MANAGING PARTNER | A | yes | 08/2019 | Nov 12, 2018 | Aug 26, 2024 |
| M••••••••• P••••••• M•••••• | CO-MANAGING PARTNER | A | yes | 05/2021 | May 14, 2021 | Aug 26, 2024 |
| M••••• J••• P•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2018 | Nov 12, 2018 | Aug 26, 2024 |
| R•••••• C•••••• P••••••• F••• I• G•• P••• L•• | Trustee | F | yes | 01/2023 | Apr 12, 2024 | Aug 26, 2024 |
| 1•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| U••• I•••••••• A••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| U••• I••••••••• H••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| U••• M•••••••• A••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| U••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| no |
| Houston | TX | United States | 1 | yes |
| $8.8B |
| $6.6B |
| 141 |
| 71 |
| 7 |
| 1 |
| n/a |
| 2024 | Mar 28, 2025 | $7.3B | $5.5B | 133 | 68 | 8 | 1 | n/a |
| 2023 | Mar 28, 2024 | $6.8B | $4.9B | 133 | 64 | 6 | 1 | $19.9M |
| 2022 | Mar 31, 2023 | $6.5B | $4.7B | 122 | 67 | 6 | 1 | $20.2M |
| 2021 | Mar 30, 2022 | $6.3B | $4.6B | 111 | 66 | 5 | 1 | $16.7M |
| 2020 | Mar 16, 2021 | $1.4B | $1.4B | 24 | 14 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.3B | $1.3B | 25 | 15 | 1 | n/a | n/a |
| 2018 | Mar 25, 2019 | $1.4B | $1.4B | 25 | 15 | 1 | n/a | n/a |
| 2017 | Mar 21, 2018 | $534M | $525M | 20 | 15 | 2 | n/a | n/a |
| AUSTIN, TX |
| Team lift out |
| Other |
| 2.5% |
| L•• F•••••••• L•• | 2 | Jun 18, 2025 | May 29, 2025 | AUSTIN, TX | Team lift out | Ibd to ibd | 2.2% |
| NEW YORK, NY |
| Team lift out |
| RIA to ibd |
| 25.0% |
| U••• A•••• M••••••••• L•• | 2 | Mar 13, 2024 | Jun 30, 2021 | HOUSTON, TX | Team lift out | Other | 33.3% |
| P••••••• P•••••• W•••••• L•• | 4 | Sep 8, 2022 | Oct 31, 2022 | BURLINGTON, MA | Team lift out | RIA to ibd | 30.8% |
| U••• A•••• M••••••••• L•• | 4 | Aug 24, 2021 | Jun 30, 2021 | HOUSTON, TX | Team lift out | Other | 44.4% |
| C••••••••• F•••••••• N•••••• | 5 | Jun 2, 2017 | Jun 2, 2017 | AUSTIN, TX | Team lift out | Ibd to new firm | 0.3% |