DFX Intelligence

S•• P•••••• W••••• H•••••••• 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•• P•••••• W••••• H•••••••• L••

CRD 151299

HOUSTON, TX

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Search this name across graphsid dfx:ria:3c06485f-4748-6de0-9ca0-a62cc36a631c

Data as of Jan 19, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Jan 19, 2021
43 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: $627M••• Locked
Discretionary RAUM: $529M
Private client RAUM: $627Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• H••••• E•••••	CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER	B	yes	08/2009	Feb 24, 2012	Jan 19, 2021
S•••••• D••••••• M••••••	MANAGING MEMBER	D	yes	08/2009	Feb 24, 2012	Jan 19, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• • C•••• P•••••• W•••••• L••	n/a	Former SEC adviser	$754M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

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	$627M	$541M	16.0%	$485M	8.9%	17	16	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• • C•••• P•••••• W•••••• L••	9	Mar 15, 2021	Mar 5, 2021	HOUSTON, TX	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ S••••• • C•••• P•••••• W•••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← C••••• H••••• E•••••OwnerCHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER, ownership code B, individual
Feb 24, 2012 to presentfactForm ADV
← S•••••• D••••••• M••••••OwnerMANAGING MEMBER, ownership code D, individual
Feb 24, 2012 to presentfactForm ADV

Owns (7)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c06485f-4748-6de0-9ca0-a62cc36a631c
First observed: Feb 24, 2012
Last observed: Jan 19, 2021 69 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.