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N••••••• R••• E••••• A••••••• I•• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N••••••• R••• E••••• A••••••• I•• L•••

CRD 290079

DALLAS, TX

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Search this name across graphsid dfx:ria:41b2d7f5-7e6a-53b3-ba10-7383b24d8406

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 1
On other graphs: 0
Observed: Sep 13, 2017 to Mar 29, 2018
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: $47.0MItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $47.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• J••••• D••••	Member	E	yes	03/2012	Sep 13, 2017	Mar 29, 2018
D••••••• J••••• D••••	President	Na	yes	10/2014	Sep 13, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• C•••••• M••••••••• F••• A•••••••• L•••	n/a	Asset manager	$2.8B	N	yes	n/a
N••••••• R••• E••••• A•••••••• L•••	n/a	Former SEC adviser	$976M	N

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$47.0M	$47.0M	0	0	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$47.0M	n/a	n/a	n/a	n/a	0	n/a	0	n/a

Relationships

Affiliated with (10)

→ H••••••• C•••••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N•••••• WEALTH A••••••SRegistered adviserother investment adviser, broker-dealer, investment company, common control
factForm ADV
→ N••••••• ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••• C•••••• M••••••••• L•••Registered adviser

Dated events

Occurred
Sep 13, 2017
First Form ADV filing
N••••••• R••• E••••• A••••••• I•• L••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41b2d7f5-7e6a-53b3-ba10-7383b24d8406
First observed: Sep 13, 2017
Last observed: Mar 29, 2018 103 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.