DFX Intelligence

C••••••••• C••••••• 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

C••••••••• C••••••• L••

CRD 292774

IRVING, TX

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Search this name across graphsid dfx:ria:9b5edd98-060f-24ee-308f-f9cc9ef1c3a3

Data as of May 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 3
On other graphs: 0
Observed: Feb 12, 2018 to May 9, 2022
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: $48.3M••• Locked
Discretionary RAUM: $48.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• M•••••• D••	PRESIDENT AND CHIEF INVESTMENT OFFICER, DIRECTOR	B	yes	04/2018	May 8, 2018	May 9, 2022
H•••••• R••••••• L•••	VICE PRESIDENT, DIRECTOR	Na	yes	04/2022	May 9, 2022	May 9, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• B••••• A•••••••• I•••	n/a	Other adviser	$60B	N	yes	n/a
N••••••• I••••••••• S••••••• O• A••••••• L••	n/a	Institutional manager	$16B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 25, 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	$48.3M	$29.6M	63.3%	$2.8M	158.4%	11	10	0	0

Relationships

Affiliated with (6)

→ S•• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ A••••••• B••••• A•••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ S•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ R•• I•••••••••Registered adviser

Dated events

Occurred
May 9, 2022
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
May 9, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 12, 2018
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b5edd98-060f-24ee-308f-f9cc9ef1c3a3
First observed: Feb 12, 2018
Last observed: May 9, 2022 53 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.