DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

M•••••• H••• A•••••••• L••

CRD 171866

AUSTIN, TX

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Search this name across graphsid dfx:ria:8e82ce20-2b2e-f381-8803-77492d0d9489

Data as of Jul 22, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2019 to Jul 22, 2020
5 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
H••••• E•••••• P•••••••	n/a	AUSTIN, TX	4	25	5	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• H•••••• E••••••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	E	yes	07/2014	Nov 15, 2019	Jul 22, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Apr 1, 2020	$0	$0	1	1	0	n/a	n/a

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
2019	$0	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Registered with (2)

← H••••• E•••••• P•••••••Advisorregistration: previous registration
Dec 17, 2019 to Dec 31, 2021factForm ADV
← M••••••• P••••• C••••••Advisorregistration: previous registration
Dec 2, 2015 to Sep 26, 2016factForm ADV

Controls (1)

← P•••••••• H•••••• E••••••OwnerCHIEF COMPLIANCE OFFICER AND MANAGING MEMBER, ownership code E, individual
Nov 15, 2019 to presentfactForm ADV

Dated events

Occurred
Nov 15, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e82ce20-2b2e-f381-8803-77492d0d9489
First observed: Nov 15, 2019
Last observed: Jul 22, 2020 75 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.