DFX Intelligence

I••• W••••• P•••••••• 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

I••• W••••• P•••••••• L••

CRD 283098

HOUSTON, TX

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Search this name across graphsid dfx:ria:959baa71-7de0-0519-f6bf-dac49622a520

Data as of Mar 2, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 9
On other graphs: 1
Observed: Jun 13, 2016 to Mar 2, 2022
15 observations

Across DFX

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

Private Equityidentity

I••• W••••• P•••••••• L••

Intermediary · shared crd

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: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $1.9Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A••• S•••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2022	Mar 2, 2022	Mar 2, 2022
M••••••• M•••• B••••	MANAGING MEMBER	B	yes	02/2017	Feb 17, 2017	Mar 2, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 2, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$2.0B	$1.5B	30.0%	$673M	43.2%	19	18	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••• W••••• P•••••••	13	Aug 1, 2022	Aug 5, 2022	HOUSTON, TX	Firm absorbed	RIA to new firm	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••• I••••••••• • A•••••••	3	Jun 23, 2020	Jun 19, 2020	HOUSTON, TX	Team lift out	RIA to RIA	11.5%
M••••• S••••••	2	Feb 23, 2017	Feb 17, 2017

Relationships

Controls (6)

← P••••• B••••• A•••••OwnerMANAGING MEMBER, ownership code B, individual
Aug 18, 2016 to presentfactForm ADV
← M••••••• M•••• B••••OwnerMANAGING MEMBER, ownership code B, individual
Feb 17, 2017 to presentfactForm ADV
← P•••••• J••••• A•••OwnerPRINCIPAL MEMBER, ownership code B, individual
Mar 2, 2022 to presentfactForm ADV
← S••••••••• S••••••• T•••••OwnerMANAGING MEMBER AND CHIEF OPERATING OFFICER, ownership code B, individual
Feb 17, 2017 to presentfact

Dated events

Occurred
Aug 1, 2022
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
13 advisors
Occurred
Mar 2, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$456M
Occurred
Mar 2, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 2, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:959baa71-7de0-0519-f6bf-dac49622a520
First observed: Jun 13, 2016
Last observed: Mar 2, 2022 55 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.