DFX Intelligence

R•••• H• J••••••• • 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

R•••• H• J••••••• • C••• I•••

CRD 107484

HOUSTON, TX

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Search this name across graphsid dfx:ria:3474387c-5cd3-7a58-629d-f5fb3d52a133

Data as of Mar 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 to Mar 1, 2012
2 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: $78.0M••• Locked
Discretionary RAUM: $78.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 77
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• F•••••••• S•••••••• I•••	PARENT COMPANY	E	yes	03/2010	Jan 3, 2012	Mar 1, 2012
J••••••• E•••••• L••••••	SHAREHOLDER, CLASS A & B	C	yes	09/1987	Jan 3, 2012	Mar 1, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• A•••• M••••••••• C••••••	n/a	Mixed wealth	$9.0B	N	yes	n/a
C••••••• F•••••••• S••••••••• L••	n/a	Former SEC adviser	$438M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 3, 2012	$78.0M	$78.0M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$78.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

← C••••••• F•••••••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••••• G••••• I••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ C••••••• F•••••••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Owns (7)

← N•••• R••••••• A•••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3474387c-5cd3-7a58-629d-f5fb3d52a133
First observed: Jan 3, 2012
Last observed: Mar 1, 2012 177 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.