DFX Intelligence

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

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

R••••• A••••••••• M••••••••• I•• L•

CRD 168942

DALLAS, TX

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Search this name across graphsid dfx:ria:832618dd-45d3-abfc-05b9-3af65c9e4135

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 6
On other graphs: 0
Observed: Nov 1, 2013 to Mar 26, 2021
15 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: $4.2M••• Locked
Discretionary RAUM: $4.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••• S•••••••• I••••• F•••• L•	Hedge Fund	$4.2M	Mar 26, 2021	37	Nov 1, 2013	reported	021-210627
R••••• S•••••••• I••••• F•••• L••	Hedge Fund	$3.8M	Apr 2, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• K••••••• S••••	LIMITED PARTNER	C	yes	01/2005	Nov 1, 2013	Mar 26, 2021
E••••••• J••••• C•••••••••	LIMITED PARTNER	C	yes	01/2005	Nov 1, 2013	Mar 26, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••• I••••••••• M••••••••• L•	n/a	Institutional manager	$321M	N	yes	n/a
R••••• A••••••••• M••••••••• L•••	n/a	Asset manager	$54.5M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$4.2M	$9.9M	-57.3%	$339M	-76.8%	14	17	1	0

Relationships

Affiliated with (6)

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

Dated events

Occurred
Mar 26, 2021
Control person joined
C••••••• W••••• Mcdowell (Chief Compliance Officer) appeared on Schedule A of R••••• A••••••••• M••••••••• I•• L•
Form ADVobserved 7 days ago
Occurred
Mar 26, 2021
Control person left
Mark Hasbani (Chief Compliance Officer) no longer on Schedule A of R••••• A••••••••• M••••••••• I•• L• (listed 2020-04-02, absent 2021-03-26)
Form ADVobserved 7 days ago
Occurred
Apr 2, 2020
Regulatory AUM changed
R••••• A••••••••• M••••••••• I•• L• reported RAUM $9.9M, down 96% from $258.7M (2019-03-30 to 2020-04-02)
Form ADVobserved 7 days ago
$-249M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:832618dd-45d3-abfc-05b9-3af65c9e4135
First observed: Nov 1, 2013
Last observed: Mar 26, 2021 66 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.