DFX Intelligence

C••••• I••••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

C••••• I••••••••• A••••••• I••

CRD 106978

DALLAS, TX

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Search this name across graphsid dfx:ria:49f0c3d9-6a3b-b55c-7bd0-38503b6657a9

Data as of Mar 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 3
On other graphs: 0
Observed: Mar 29, 2012 to Mar 27, 2020
14 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: $1.1B••• Locked
Discretionary RAUM: $154M
Private client RAUM: $56.5Mderived••• Locked
Private client share: 5%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
C•••••• S••••• B••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	12/1988	Mar 29, 2012	Mar 27, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••• A•••• M••••••••• I•••	n/a	n/a	n/a	N	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	$1.1B	$767M	40.7%	$941M	4.7%	3	3	0	0

Relationships

Controls (1)

← C•••••• S••••• B••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (1)

← C••••••••• J••• C•••••••••Advisorregistration: previous registration
Feb 1, 2011 to May 31, 2018factForm ADV

Dated events

Occurred
Mar 27, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$312M
Occurred
Mar 29, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-725M
Occurred
Mar 28, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$551M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49f0c3d9-6a3b-b55c-7bd0-38503b6657a9
First observed: Mar 29, 2012
Last observed: Mar 27, 2020 79 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.