DFX Intelligence

A••• A•••••••• 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

A••• A•••••••• L••

CRD 284668

PLANO, TX

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Search this name across graphsid dfx:ria:506a8e27-6493-f198-3f2c-ccfb4a2a5595

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 18, 2016 to Mar 31, 2017
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: $337,608••• Locked
Discretionary RAUM: $337,608
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• D••••••• W•••	Shareholder	D	yes	03/2008	Aug 18, 2016	Mar 31, 2017
C•••• D••••••• W•••	MANAGER/CCO	Na	yes	07/2016	Aug 18, 2016	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A••••••• L••	n/a	Independent wealth	$5.1B	N	yes	n/a
C•••• W•••••• • A••••••••• L••	n/a	Independent wealth	$5.0B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	$337,608	$337,608	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$337,608	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ M••••••••• F•••••••• S••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•••• W•••••• • A••••••••• L••Registered adviserother investment adviser, insurance company, common control
factForm ADV
→ T••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• M••••• L••Registered adviserother investment adviser, broker-dealer, common control

Dated events

Occurred
Aug 18, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:506a8e27-6493-f198-3f2c-ccfb4a2a5595
First observed: Aug 18, 2016
Last observed: Mar 31, 2017 115 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.