DFX Intelligence

C••••• C•••• C•••••• A•••••••• 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

C••••• C•••• C•••••• A•••••••• L•

CRD 144128

HOUSTON, TX

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Search this name across graphsid dfx:ria:9b54f31d-5a8b-5719-a7cf-c4d04486b4a6

Data as of Oct 19, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 19, 2017
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: $4.1B••• Locked
Discretionary RAUM: $4.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• W••••••• H••••••	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	11/2012	Nov 29, 2012	Oct 19, 2017
C••••• C•••• C•••••• A••••••• G•• L••	GENERAL PARTNER	Na	yes	04/2007	Mar 30, 2012	Oct 19, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••• S••••• C••••••• L••	n/a	Independent wealth	$1.6B	N	yes	n/a
A••••••• I••••••••• A•••••••• L••	n/a	Former SEC adviser	$47.9M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$4.1B	$3.1B	31.4%	$3.2B	8.0%	12	12	0	n/a

Relationships

Affiliated with (6)

→ S•••• G•••• C•••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ W••••••••• C•••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
← A••••••• I••••••••• A•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b54f31d-5a8b-5719-a7cf-c4d04486b4a6
First observed: Mar 30, 2012
Last observed: Oct 19, 2017 108 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 (13)

← H•••• D••••••• L•••OwnerOWNER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← S•••••• S•••••• W••••OwnerOWNER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← B••••• W••••••• H••••••OwnerCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 29, 2012 to presentfactForm ADV
← C•••••••• R•••••• T•••••OwnerMEMBER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← T••••••• D••• C•••••OwnerOWNER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← I••••••• J••••• C••••••OwnerDIRECTOR OF TRADING, ownership code NA, individual
Mar 17, 2014 to presentfactForm ADV
← J••••••••• J••••••OwnerSENIOR VICE PRESIDENT AND DIRECTOR OF RESEARCH, ownership code NA, individual
Mar 9, 2015 to presentfactForm ADV
← H••••••••• R•••••• E•OwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Mar 17, 2014 to presentfactForm ADV
← C••••• C•••• C•••••• A••••••• G•• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV
← C••••• C•••• C•••••• H•••••••• L••OwnerLIMITED PARTNER, ownership code E, domestic entity
Oct 20, 2014 to presentfactForm ADV
← C••••••• F••••• I••••••••• L••OwnerMEMBER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← G•••• S••••• G••••• L••OwnerMEMBER, ownership code C, domestic entity
Oct 20, 2014 to presentfactForm ADV
← T•••• C• I••••••••• L••OwnerMEMBER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV