DFX Intelligence

G•• 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

G•• A•••••••• L•••

CRD 141451

HOUSTON, TX

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Search this name across graphsid dfx:ria:736e6c22-93e8-3438-c43d-d9b6183795b7

Data as of Mar 22, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to Mar 22, 2013
4 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: $1.5M••• Locked
Discretionary RAUM: $1.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••• H••••• E••••• M••••• F•••• L•••	Hedge Fund	$1.7M	Mar 22, 2013	62	Mar 28, 2012	reported	021-99999
G••••• H••••• E••••• F•••• L•••	Hedge Fund	$1.3M	Mar 22, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• P•••• A•••••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2010	Dec 2, 2011	Mar 22, 2013
B••••••••• J•••• A•••••	ELECTED MANAGER, MEMBER	F	yes	08/2006	Dec 2, 2011	Mar 22, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••••• C••••••• L••	n/a	Former SEC adviser	$8.3B	N	yes	n/a
S•••••• C•••••• A•••••••• L••	n/a	Former SEC adviser	$2.1B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 22, 2013

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	$1.5M	$1.6M	-8.4%	n/a	n/a	6	n/a	n/a	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• C•••• P•••••••	2	Oct 10, 2017	Nov 13, 2006	AUSTIN, TX	Team lift out	Other	33.3%

Relationships

Affiliated with (7)

→ S•••••• A•••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C•••••• C•••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• C•••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I•••••••• C••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:736e6c22-93e8-3438-c43d-d9b6183795b7
First observed: Dec 2, 2011
Last observed: Mar 22, 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.