DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L••••• A•••• M••••••••• I•••

CRD 111423

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:62d75a53-ab35-1d80-9f3b-f2b665386a43

Data as of May 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 11
On other graphs: 1
Observed: Apr 3, 2012 to May 13, 2024
43 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

L••••• A•••• M••••••••• I•••

Investment consultant · shared crd

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: $162M••• Locked
Discretionary RAUM: $141M
Private client RAUM: $149Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• J•••••• R••••••	PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER	E	yes	06/1998	Apr 3, 2012	May 13, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$162M	$122M	32.4%	$419M	-27.2%	7	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••••••••	3	Aug 28, 2024	Mar 4, 2024	HOUSTON, TX	Firm absorbed	Other	100.0%
I••••••••• C••••••• L••	2	Sep 4, 2019	Sep 4, 2019

Relationships

Controls (1)

← B•••••••• J•••••• R••••••OwnerPRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 3, 2012 to presentfactForm ADV

Registered with (11)

← J••••• R•••••• B•••••••Advisorregistration: previous registration
Aug 19, 1998 to Aug 28, 2024factForm ADV
← C•••••••• L••• A••••Advisorregistration: previous registration
Aug 3, 2023 to Aug 28, 2024factForm ADV
←

Dated events

Occurred
Aug 28, 2024
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Aug 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 28, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62d75a53-ab35-1d80-9f3b-f2b665386a43
First observed: Apr 3, 2012
Last observed: May 13, 2024 28 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.