DFX Intelligence

A••••••• C••••••• 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

A••••••• C••••••• L••

CRD 174300

DALLAS, TX

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Search this name across graphsid dfx:ria:39f98fcc-4450-8a58-f7a4-fa1363854712

Data as of Feb 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 3
On other graphs: 1
Observed: Jun 2, 2016 to Feb 21, 2020
8 observations

Across DFX

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

Venture Capitalidentity

A••••••• C••••••• L••

Venture 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: $248M••• Locked
Discretionary RAUM: $248M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• D•••••• J••••••	MANAGING MEMBER, CHIEF INVESTMENT OFFICER, AND CHIEF COMPLIANCE OFFICER	E	yes	12/2014	Jun 2, 2016	Feb 21, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK CITY	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Feb 21, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$248M	$464M	-46.6%	$304M	-6.5%	3	3	1	1

Relationships

Controls (1)

← M•••• D•••••• J••••••OwnerMANAGING MEMBER, CHIEF INVESTMENT OFFICER, AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jun 2, 2016 to presentfactForm ADV

Dated events

Occurred
Feb 21, 2020
Regulatory AUM changed
A••••••• C••••••• L•• reported RAUM $248.0M, down 47% from $464.1M (2019-09-12 to 2020-02-21)
Form ADVobserved 7 days ago
$-216M
Occurred
Feb 4, 2019
Regulatory AUM changed
A••••••• C••••••• L•• reported RAUM $464.1M, up 56% from $297.9M (2018-02-13 to 2019-02-04)
Form ADVobserved 7 days ago
$166M
Occurred
Jun 2, 2016
First Form ADV filing
A••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39f98fcc-4450-8a58-f7a4-fa1363854712
First observed: Jun 2, 2016
Last observed: Feb 21, 2020 80 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.