DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

I••••••• I••••••••• M••••••••• L••

CRD 192522

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3191becc-1f68-25e7-f4f9-a4e68c23bfd2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 3
Observed: Jun 28, 2018 to Mar 31, 2026
10 observations

Across DFX

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

Venture Capitalidentity

I••••••• I••••••••• M••••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

I••••••• I••••••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

I••••••• I••••••••• M••••••••• L••

Private equity manager · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $323MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $323M
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••••• L•••• C••••	Chartered Financial Analyst	HOUSTON, TX	8	31	1	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I••••••• P•••••• E••••• S••••• L•	Private Equity Fund	$101M	Nov 20, 2024	9	Mar 28, 2018	reported	n/a
I••••••• P•••••• E••••• F••• I• L•	Private Equity Fund

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
I••••••• F•••••••• P•••••••• L•••••	MANAGING MEMBER	E	yes	01/2015	Jun 28, 2018	Nov 20, 2024
M••••• H•••• E•••••	CHIEF EXECUTIVE OFFICER	F	yes	01/2015	Jun 28, 2018

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
I••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
I••••••• P•••••• E••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	4	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

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	$323M	$307M	5.3%	$220M	13.7%	6	7	1	1

Relationships

Advises (5)

→ I••••••• P•••••• E••••• S••••••• L•••Private fundPrivate Equity Fund, IA
Apr 27, 2021 to presentfactForm ADV
→ I••••••• P•••••• E••••• F••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 27, 2024 to presentfactForm ADV
→ I••••••• P•••••• E••••• S••••• L•Private fundPrivate Equity Fund, IA
Mar 28, 2018 to presentfactForm ADV
→ I••••••• P•••••• E••••• F••• I• L•

Dated events

Occurred
Jun 28, 2018
First Form ADV filing
I••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3191becc-1f68-25e7-f4f9-a4e68c23bfd2
First observed: Jun 28, 2018
Last observed: Mar 31, 2026 5 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.