DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

G•••••• S•••• R••••• M••••••••• L••

CRD 160919

IRVING, TX

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Search this name across graphs

Data as of Sep 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Sep 7, 2016
19 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: $11B••• Locked
Discretionary RAUM: $7.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 87
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• T•••••• M••••••	CHIEF EXECUTIVE OFFICER	Na	yes	02/2012	Feb 14, 2012	Sep 7, 2016
F•••••• K•••• L•	CHIEF COMPLIANCE OFFICER	Na	yes	08/2012	Aug 6, 2012	Sep 7, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• A•••• M••••••••• L•••	n/a	Other adviser	$2649B	N	yes	n/a
G••••••• S•••• • C••	n/a	Wirehouse	$134B	N	yes	NY

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Washington	Dc	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$11B	$16B	-32.5%	$24B	-23.0%	87	83	n/a	n/a

Relationships

Affiliated with (3)

← G•••••• S•••• A•••• M••••••••• A•••••••• P•• L••Registered adviserother investment adviser, common control
factForm ADV
→ G•••••• S•••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ G•••••• S•••• • C•• L••Registered adviserother investment adviser, broker-dealer, bank, trust company, custodian, common control
factForm ADV

Controls (6)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Sep 7, 2016 122 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.

All 27 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• R••• E••••• A•••••••• L•••••	n/a	n/a	n/a	N	yes	n/a
G•••••• S•••• R••••• A••• P•••••• P••• L••	n/a	n/a	n/a	Y	yes	n/a
G•••••• S•••• R••••• J•••• L••	n/a	n/a	n/a	Y	yes	n/a
G•••••• S•••• R••••• M••••••••• E••••• G•••	n/a	n/a	n/a	Y	yes	n/a
G•••••• S•••• R••••• M••••••••• G•••	n/a	n/a	n/a	Y	yes	n/a
G• F••• H•••••••• L•••••	n/a	n/a	n/a	N	yes	n/a
G• L•• M••••••••• S••••••• S••• R•••	n/a	n/a	n/a	N	yes	n/a
G• R••• E••••• M•••••••• P••••••• ••••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
G• R••• E••••• M•••••••• P••••••• ••••• G•• L•••••	n/a	n/a	n/a	N	yes	n/a
K••• M••••• S••••• K•••••	n/a	n/a	n/a	Y	yes	n/a
U••• R••• P••••••• I••••• F••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
W• A•••••••• L••••• 2•••	n/a	n/a	n/a	N	yes	n/a
W• A•••••••• L••••• 2•••	n/a	n/a	n/a	N	yes	n/a
W• I••••••••• ••• I•••••••• A•••••••• L••••• 2•••	n/a	n/a	n/a	N	yes	n/a
W• I••••••••• A•••••••• L••••• 2•••	n/a	n/a	n/a	N	yes	n/a
W• P••••••• A•••••••• L••••• 2•••	n/a	n/a	n/a	N	yes	n/a
W•••••••• S••••• E••••••• F•••• 2••• G•• L•••••	n/a	n/a	n/a	N	yes	n/a