DFX Intelligence

C••••••••• C•••••• M••••••••• 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

C••••••••• C•••••• M••••••••• L••

CRD 109471

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:3c23bae5-5425-ae56-ce11-573469d83af1

Data as of Mar 24, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Jan 31, 2012 to Mar 24, 2022
16 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: $467M••• Locked
Discretionary RAUM: $451M
Private client RAUM: $312Mderived••• Locked
Private client share: 67%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S••••• C••••••	CHIEF COMPLIANCE OFFICER, MEMBER, MANAGER	C	yes	01/2013	Jan 31, 2012	Mar 24, 2022
E••••••••• L••••• L••	CO-CEO, MEMBER, MANAGER	C	yes	11/1999	Jan 31, 2012	Mar 24, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$467M	$393M	18.7%	$317M	13.7%	5	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••• C•••••• F••••••••	3	Jul 1, 2022	Jul 4, 2022	SAN ANTONIO, TX	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← E••••••••• L••••• L••OwnerCO-CEO, MEMBER, MANAGER, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← D••••• S••••• C••••••OwnerCHIEF COMPLIANCE OFFICER, MEMBER, MANAGER, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← M•••••••• M••••••OwnerCO-CEO, MEMBER, MANAGER, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV

Moved with (1)

→ P•••• C•••••• F••••••••Registered adviser

Dated events

Occurred
Jul 1, 2022
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Jul 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 1, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c23bae5-5425-ae56-ce11-573469d83af1
First observed: Jan 31, 2012
Last observed: Mar 24, 2022 54 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.