DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

U•••• F••• M••••••••• L••

CRD 167491

PLANO, TX

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Data as of May 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 9
On other graphs: 1
Observed: Sep 27, 2013 to May 7, 2026
18 observations

Across DFX

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

Independent Sponsorsidentity

U•••• F••• M••••••••• 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: 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: $768M••• Locked
Discretionary RAUM: $768M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 67

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U•••• O•• A•• G•• P••••••• D••• L•	Other Private Fund	$181M	May 7, 2026	4	Apr 30, 2020	reported	021-352238
U•••• O•• A•• G•• P••••••• E• L•	Other Private Fund	$161M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• M••••••• T•••••	Member	B	yes	03/2020	Sep 27, 2013	May 9, 2024
S•••• B•••••• C••••••	Member	E	yes	03/2013	Sep 27, 2013	May 9, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

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	$768M	$785M	-2.2%	$1.5B	-19.4%	67	2	0	0

Relationships

Advises (10)

→ U•••• O•• A•• G•• P••••••• B••• L•Private fundOther Private Fund, IA
Sep 27, 2013 to presentfactForm ADV
→ U•••• O•• A•• G•• P••••••• B• L•••Private fundOther Private Fund, IA
Sep 27, 2013 to presentfactForm ADV
→ U•••• O•• A•• G•• P••••••• E••• L•Private fundOther Private Fund, IA
Mar 29, 2024 to presentfactForm ADV
→ U•••• O•• A•• G•• P••••••• C• L•

Dated events

Order

Occurred
7 May 2026
Private fund no longer reported2 events
Private fund no longer reported: 2 on 7 May 2026
$403K to $690K
- ••• Locked$690K
- ••• Locked$403K
Occurred
29 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
down $677M
Occurred
20 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
$703M
Occurred
21 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$305M
Occurred
25 Mar 2019
Control person left2 events
U•••• F••• M••••••••• L••: control person left, 2 events, on 25 Mar 2019
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 27, 2013
Last observed: May 7, 2026 4 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 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$247M	$247M	4	4	n/a	4	$159M
2014	Mar 30, 2015	$426M	$426M	4	4	n/a	4	$307M
2013	Mar 28, 2014	$411M	$411M	4	4	n/a	4	$198M