DFX Intelligence

E••••••• I••••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

E••••••• I••••••••• S•••••••• L••

CRD 156671

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:81fe7131-9e85-06bb-3020-f384222300bb

Data as of Feb 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Feb 14, 2012
1 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: $3.9B••• Locked
Discretionary RAUM: $3.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 20
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••••• E••••• I••••••••• F••• X•••• L•••	Other Private Fund	$642M	Feb 14, 2012	52	Feb 14, 2012	reported	021-98139
E••••••• E••••• I••••••••• F••• X•••• L•••	Other Private Fund	$316M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• V• J••••• J•• L•••• T••••	Shareholder	C	yes	12/1990	Feb 14, 2012	Feb 14, 2012
E••••••• A••••••• G•• L•••	GENERAL PARTNER	F	yes	12/1999	Feb 14, 2012	Feb 14, 2012

Affiliates (Item 7.A)

••• Locked

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

Relationships

Advises (10)

→ E••••••• W••••••• C••••••••• P••••••••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ E••••••• E••••• I••••••••• F••• X•••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ E••••••• E••••• I••••••••• F••• X••• L•••Private fundOther Private Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ E••••••• E••••• I••••••••• F••• X••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:81fe7131-9e85-06bb-3020-f384222300bb
First observed: Feb 14, 2012
Last observed: Feb 14, 2012 177 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.

Controls (15)

← J••••• J••• R••OwnerTRUSTEE, ownership code F, individual
Feb 14, 2012 to presentfactForm ADV
← W•••••• J•••• B••••OwnerSOLE MEMBER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV
← W••••• F•••••• J•••OwnerSENIOR VICE PRESIDENT, SECRETARY, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← V••••••••• J••••• M••••••OwnerEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND MANAGER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← H•••••• M•••• A••••OwnerEXECUTIVE VICE PRESIDENT, CHIEF O•••••••• OFFICER AND MANAGER, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← J••••• A•• V•OwnerTRUSTEE, ownership code F, individual
Feb 14, 2012 to presentfactForm ADV
← A• V• J••••• J•• L•••• T••••OwnerSHAREHOLDER, ownership code C, domestic entity
Feb 14, 2012 to presentfactForm ADV
← E••••••• A••••••• G•• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 14, 2012 to presentfactForm ADV
← E••••••• A•••••••• L•••OwnerMEMBER, ownership code D, domestic entity
Feb 14, 2012 to presentfactForm ADV
← E••••••• H••••••• L•••OwnerMEMBER, ownership code E, domestic entity
Feb 14, 2012 to presentfactForm ADV
← E••••••• O••••••••• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 14, 2012 to presentfactForm ADV
← E•••••••• L•••OwnerLIMITED PARTNER, ownership code E, domestic entity
Feb 14, 2012 to presentfactForm ADV
← J•• R•• J•••• L•••• T••••OwnerSHAREHOLDER, ownership code C, domestic entity
Feb 14, 2012 to presentfactForm ADV
← J•••• E•••••••• L•••OwnerMEMBER, ownership code D, domestic entity
Feb 14, 2012 to presentfactForm ADV
← J••••••••• C•••••••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 14, 2012 to presentfactForm ADV