DFX Intelligence

W••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••••••••• L••

CRD 289492

HOUSTON, TX

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Search this name across graphsid dfx:ria:448975e1-6585-7c4e-ba6a-cb5c6ae89034

Data as of Jan 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 0
Observed: Nov 17, 2017 to Jan 28, 2019
3 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• S••••••• J•••••	PRESIDENT/CEO	C	yes	10/2013	Nov 17, 2017	Jan 28, 2019
G••••••••• K••••• S••••	Chairman	D	yes	10/2013	Nov 17, 2017	Jan 28, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• F••••••••• L••	n/a	Independent wealth	$1.8B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Jan 28, 2019	$0	$0	1	1	0	n/a	n/a
2017	Mar 26, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$0	n/a	n/a	n/a	n/a	1	1	0	0

Relationships

Affiliated with (1)

→ R•• A•••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← R••••••• L••••• E•••OwnerLIMITED PARTNER, ownership code E, individual
Mar 26, 2018 to presentfactForm ADV
← T••••••• E•••• M••••••OwnerMEMBER AND DIRECTOR, ownership code E, individual
Nov 17, 2017 to presentfactForm ADV
← R•••••••• P•••••••OwnerPRESIDENT/CEO, ownership code D, individual

Dated events

Occurred
Nov 17, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:448975e1-6585-7c4e-ba6a-cb5c6ae89034
First observed: Nov 17, 2017
Last observed: Jan 28, 2019 93 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.