DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D••• S••• F••••••••• I•••

CRD 114446

DALLAS, 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:97552c9b-504a-6a04-1907-22823f93c3f3

Data as of Jan 21, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2012 to Jan 21, 2021
12 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: $126M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $126Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••• D•••••• R••	CHIEF COMPLIANCE OFFICER	B	yes	10/1993	Mar 19, 2012	Jan 21, 2021
S•••• L•••• K•••••••	Owner	E	yes	05/2004	Mar 19, 2012	Jan 21, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 21, 2021

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	$126M	n/a	n/a	n/a	n/a	7	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••• P••••• A•••••••• L••	2	Apr 21, 2021	May 21, 2021	DALLAS, TX	Team lift out	RIA to RIA	66.7%

Relationships

Controls (2)

← S•••• D•••••• R••OwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 19, 2012 to presentfactForm ADV
← S•••• L•••• K•••••••OwnerOWNER, ownership code E, individual
Mar 19, 2012 to presentfactForm ADV

Moved with (1)

→ B••••• P••••• A•••••••• L••Registered adviser2 advisors, team lift out
Apr 21, 2021 to May 21, 2021factForm ADV

Registered with (5)

Dated events

Occurred
Feb 12, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97552c9b-504a-6a04-1907-22823f93c3f3
First observed: Mar 19, 2012
Last observed: Jan 21, 2021 69 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.