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A••••••••• I••••••••• C••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A••••••••• I••••••••• C••••••• I••

CRD 144857

HOUSTON, TX

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Search this name across graphsid dfx:ria:20e9c6cf-03e7-1984-2898-273f27ab9801

Data as of Apr 25, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Apr 25, 2013
11 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: $94.2MItem 5.F on the latest filing (2013-04-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $94.2M
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: 0
Employees

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
D••••••• G•••••• R••••	Chairman	Na	yes	07/2007	Nov 22, 2011	Apr 25, 2013
D•••••••• R•••• C••••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2011	Nov 22, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• F•••••••• G••••• I•••	n/a	Former SEC adviser	$3.8B	N	yes	n/a
V•••••••• A•••• M••••••••• I•••	n/a	Former SEC adviser	$605M	N	yes

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
2012

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
2012	$94.2M	$126M	-25.2%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ V•••••••• A•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (5)

← D••••••• G•••••• R••••OwnerCHAIRMAN, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← D•••••••• R•••• C••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20e9c6cf-03e7-1984-2898-273f27ab9801
First observed: Nov 22, 2011
Last observed: Apr 25, 2013 163 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.