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 100m 1b

A•••••••• A•••••••• L••

CRD 151127

HOUSTON, TX

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Search this name across graphsid dfx:ria:67b6e101-f1e8-95fe-4a01-9cab7d1057be

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2012 to Jun 29, 2020
27 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: $125M••• Locked
Discretionary RAUM: $124M
Private client RAUM: $16.1Mderived••• Locked
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• A••••••• G••••• L••	Member	E	yes	04/2014	Jan 18, 2012	Jun 29, 2020
L••• J••••• H•••••	MANAGING MEMBER	F	yes	07/2009	Jan 18, 2012	Jun 29, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• S•••••••• L••	n/a	Former SEC adviser	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	$125M	$149M	-16.1%	$137M	-2.9%	10	10	0	0

Relationships

Affiliated with (2)

← EMPOWERMENT FINANCIAL GROUPRegistered adviserother investment adviser
factForm ADV
→ A•• S•••••••• I•••Registered adviserbroker-dealer, common control
factForm ADV

Controls (2)

← L••• J••••• H•••••OwnerMANAGING MEMBER, ownership code F, individual
Jan 18, 2012 to presentfactForm ADV
← A•••••••• A••••••• G••••• L••OwnerMEMBER, ownership code E, domestic entity

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67b6e101-f1e8-95fe-4a01-9cab7d1057be
First observed: Jan 18, 2012
Last observed: Jun 29, 2020 75 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.