DFX Intelligence

S••••••• M•••••• G•••• 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

S••••••• M•••••• G•••• L••

S••••••• M•••••• L••, CRD 169657

DALLAS, TX

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Search this name across graphsid dfx:ria:5082ff6e-47d9-46ec-1246-818fda210fde

Data as of May 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 3, 2013 to May 2, 2014
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: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $0derived••• Locked
Private client share: 0%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
R••••••••• B••••• B•••••	Member	D	yes	06/2013	Dec 3, 2013	May 2, 2014
R••••••••• B••••• B•••••	Ceo	Na	yes	11/2013	Dec 3, 2013	May 2, 2014

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Relationships

Controls (3)

← R••••••••• B••••• B•••••OwnerMEMBER, ownership code D, individual
Dec 3, 2013 to presentfactForm ADV
← R••••••••• K••••• K•••••OwnerMEMBER, ownership code D, individual
Dec 3, 2013 to presentfactForm ADV
← S••••••• M•••••• L••OwnerMEMBER, ownership code D, domestic entity
Dec 3, 2013 to presentfactForm ADV

Dated events

Occurred
Dec 3, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5082ff6e-47d9-46ec-1246-818fda210fde
First observed: Dec 3, 2013
Last observed: May 2, 2014 150 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.