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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••••••• A••••••• I••

CRD 106401

BATON ROUGE, LA

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Search this name across graphsid dfx:ria:738cc0e3-97b3-28d8-fbb4-b186f91ea5f7

Data as of Jan 14, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Jan 14, 2014
6 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: $55.3MItem 5.F on the latest filing (2014-01-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $55.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C• C••• F•••• I••••• F••• L••	Hedge Fund	$35.9M	Mar 26, 2012	83	Mar 26, 2012	dropped	021-505
C••••••• C•• I• L•••	Other Private Fund	$29.1M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• W•••••• A•••••	PRESIDENT, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER	E	yes	04/1991	Mar 26, 2012	Jan 14, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• S••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
BATON ROUGE	La	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$55.3M	$110M	-49.6%	n/a	n/a	3	3	n/a	n/a

Relationships

Advises (9)

→ C• R••••••• M••••• F•••• L••Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ C••••••• C•• I• L•••Private fundOther Private Fund, IA
Apr 30, 2013 to presentfactForm ADV
→ C• S•••••••• E••••• F••• L••Private fundHedge Fund, IA, no longer reported
Mar 26, 2012 to Mar 26, 2012factForm ADV
→ C• H••• Y•••• O••••••• F••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:738cc0e3-97b3-28d8-fbb4-b186f91ea5f7
First observed: Mar 26, 2012
Last observed: Jan 14, 2014 154 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.