DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

G••••• H••••••• • A••••••••• L•

CRD 108017

HOUSTON, TX

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Search this name across graphsid dfx:ria:791db146-1748-f5d5-a9fc-1a3dbd864389

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 4
On other graphs: 1
Observed: Mar 22, 2012 to Mar 30, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

G••••• H••••••• • A••••••••• L•

Capital provider to sponsors · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.03 institutional_share=0.89 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $25B••• Locked
Discretionary RAUM: $25B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $8.3Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••••• A••••• G•••••	Chartered Financial Analyst	HOUSTON, TX	15	40	n/a	no
J•••••• D•••• D•••••••	Chartered Financial Analyst	HOUSTON, TX	8	25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••• H••••••• Q•••••• A•••••••• B••• F•••• L•••	Other Private Fund	$28.7M	Mar 30, 2026	2	Mar 30, 2020	reported	021-345328

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• G••••••• A•••••	100% STOCKHOLDER OF GP	E	yes	04/2008	Mar 22, 2012	Jul 5, 2024
G•••••• G••••••• A•••••	MANAGING PARTNER, DIRECTOR OF FIXED INCOME	C	yes	12/2005	Mar 22, 2012	Jul 5, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$25B	$23B	9.1%	$17B	14.0%	41	38	0	0

Relationships

Advises (1)

→ G••••• H••••••• Q•••••• A•••••••• B••• F•••• L•••Private fundOther Private Fund, IA
Mar 30, 2020 to presentfactForm ADV

Registered with (7)

← J•••••• D•••• D•••••••Advisorregistration: current employment
Nov 14, 2017 to presentfactForm ADV
← K•••• H••••• T•••Advisorregistration: current employment
Nov 14, 2017 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 29, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.5B
Occurred
Feb 2, 2018

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:791db146-1748-f5d5-a9fc-1a3dbd864389
First observed: Mar 22, 2012
Last observed: Mar 30, 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.

Owns (16)

← M••••••••• B•••• L••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2012 to Jul 5, 2024factForm ADV
← D••••••• M•••• R••••••OwnerPARTNER, FIXED INCOME PORTFOLIO MANAGER, ownership code NA, individual
Apr 1, 2022 to Jul 5, 2024factForm ADV
← E••••••••• D••• F••••••••OwnerPARTNER, ownership code NA, individual
Mar 30, 2020 to Jul 5, 2024factForm ADV
← S••••• M•••••• B••••••OwnerPARTNER, ownership code NA, individual
Apr 1, 2022 to Jul 5, 2024factForm ADV
← R••••••• S••••••••• J••OwnerPARTNER, ownership code A, individual
Oct 3, 2014 to Jul 5, 2024factForm ADV
← D•••••••• J••••••• D••••OwnerPARTNER, FIXED INCOME PORTFOLIO MANAGER, ownership code A, individual
Mar 31, 2017 to Jul 5, 2024factForm ADV
← G•••••••• J••••• P•••OwnerPARTNER, ownership code NA, individual
Mar 28, 2024 to Jul 5, 2024factForm ADV
← L•••••• J••••• K••••OwnerPARTNER, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 22, 2012 to Jul 5, 2024factForm ADV
← D•••••• Y•••••• M••••OwnerPARTNER, ownership code NA, individual
Mar 31, 2021 to Jul 5, 2024factForm ADV
← D••••• C•••••• F•••••OwnerPARTNER, ownership code NA, individual
Mar 31, 2023 to Jul 5, 2024factForm ADV
← D•••• R•••• M••••OwnerPARTNER, DIRECTOR OF M•••ETING & CLIENT SERVICES, ownership code B, individual
Oct 3, 2014 to Jul 5, 2024factForm ADV
← R••••••••• N••••OwnerPARTNER, FIXED INCOME PORTFOLIO MANAGER, ownership code NA, individual
Oct 3, 2014 to Jul 5, 2024factForm ADV
← T•••• K••••• H•••••OwnerPARTNER, FIXED INCOME PORTFOLIO MANAGER, ownership code A, individual
Mar 31, 2017 to Jul 5, 2024factForm ADV
← M••••••••• B•••••••• D•OwnerPARTNER, FIXED INCOME PORTFOLIO MANAGER, ownership code NA, individual
Mar 29, 2019 to Jul 5, 2024factForm ADV
← M••••••••• G•••• C•OwnerPARTNER, ownership code NA, individual
Mar 29, 2019 to Jul 5, 2024factForm ADV
← D••••• M•••••• M••••OwnerPARTNER, ownership code NA, individual
Mar 30, 2020 to Jul 5, 2024factForm ADV