DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

R••••• F••• M••••••••• L•••

CRD 132276

DALLAS, TX

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Data as of Apr 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 2, 2013
2 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 14
Advisory employees: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $4.1M••• Locked
Custody, client assets: $4.1M

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••• F••••• F••• •••• L•	Other Private Fund	$4.1M	Apr 2, 2013	9	Mar 30, 2012	reported	021-57961

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• T•••••• E•••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2004	Mar 30, 2012	Apr 2, 2013
C••••• K••••••• S••••	MEMBER OF MANAGEMENT COMMITTEE FOR R••••• F••• M•••••••••	Na	yes	06/2004	Mar 30, 2012	Apr 2, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••• I••••••••• M•••••••••	n/a	Other adviser	$1.5B	N	yes	n/a
R••••• I••••••••• M••••••••• L•••	n/a	Independent wealth	$206M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 2, 2013	n/a	n/a	14	3	n/a	1	$4.1M
2011	Mar 30, 2012

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	n/a	n/a	n/a	n/a	n/a	14	n/a	n/a	n/a

Relationships

Affiliated with (6)

→ R••••• A•••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ R••••• I••••••••• M•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ R••••• A••••••••• M••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ W•••••• P•••••• W••••• M••••••••• L•Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Apr 2, 2013 164 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.

All 11 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••••• I••• J•••••• W•••••••	COO/CFO AND MEMBER OF MANAGEMENT COMMITTEE FOR R••••• F••• M•••••••••	Na	yes	06/2004	Mar 30, 2012	Apr 2, 2013