DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••• G••••• • C• I••••••••• A•••••••• L•••••

CRD 107827

HOUSTON, TX

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Search this name across graphsid dfx:ria:240d19f0-b3d8-23ba-213d-74c93698c2cc

Data as of Apr 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 2
Observed: Mar 30, 2012 to Apr 25, 2023
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

S•••• G••••• • C• I••••••••• A•••••••• L•••••

Private credit manager · shared crd

Real Estate Fundsidentity

S•••• G••••• • C• I••••••••• A•••••••• L•••••

Real estate fund manager · shared crd

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: $829M••• Locked
Discretionary RAUM: $829M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••• R•• I•• L••	Real Estate Fund	$56.5M	Jun 22, 2018	2	Mar 29, 2016	dropped	n/a
S••• R••••••••• B••••• L••• V•••••• I•• L•	Real Estate Fund	$6.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• J••••• G••••••	CHIEF EXECUTIVE OFFICER	Na	yes	12/1992	Mar 30, 2012	Apr 25, 2023
S•• A•••••••• I••• •••••••• S•••• G••••• H•••• • C•••	GENERAL PARTNER	Na	yes	05/1996	Mar 30, 2012	Apr 25, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	12	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$829M	$4.4B	-81.3%	$6.0B	-48.4%	15	25	1	1

Relationships

Owns (3)

← D•••• M•••• W•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2013 to presentfactForm ADV
← R•••••••• M•••••••• V••••OwnerCHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Dec 5, 2022 to presentfactForm ADV
← V••••••••• A••••••• R•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 5, 2022 to presentfactForm ADV

Controls (4)

← H••••• J••••• G••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual

Dated events

Occurred
Dec 5, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-3.6B
Occurred
Dec 5, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 25, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 20, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:240d19f0-b3d8-23ba-213d-74c93698c2cc
First observed: Mar 30, 2012
Last observed: Apr 25, 2023 41 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.