DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

P••• R••••• A•••••••• L••

CRD 313281

ADDISON, TX

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Search this name across graphsid dfx:ria:73eda131-f758-d046-eb04-a59da047d949

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 0
Observed: Mar 30, 2022 to Mar 31, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• R••••••• D••••	CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER	Na	yes	04/2021	Mar 30, 2022	Mar 28, 2024
M•••••• S••••••• J••••	MANAGING PARTNER & CHIEF INVESTMENT OFFICER	E	yes	01/2021	Mar 30, 2022	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• C•••••• R••••• A•••••••• L••	n/a	Asset manager	$156M	N	yes	n/a
P•••••• C•••••• H••••••• I•• L••	n/a	n/a	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
2025	Mar 31, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$693M	76.6%	$710M	19.9%	19	17	0	0

Relationships

Affiliated with (2)

→ P•••••• C•••••• R••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← P•••••• C•••••• R••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (4)

← M•••••• S••••••• J••••OwnerMANAGING PARTNER & CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 30, 2022 to Mar 28, 2024factForm ADV
← S••••• A•••••• F•••••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$531M
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73eda131-f758-d046-eb04-a59da047d949
First observed: Mar 30, 2022
Last observed: Mar 31, 2026 5 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.