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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••• A•• M•••••• L••

CRD 342110

DALLAS, TX

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Search this name across graphsid dfx:ria:9eb07eed-3788-9097-cae5-1959aa2b3b3b

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jul 10, 2026 to Jul 10, 2026
1 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=14.0
Regulatory AUM: $300MItem 5.F on the latest filing (2026-07-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $300M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• D••••••• A••••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2008	Jul 10, 2026	Jul 10, 2026
C••• S••••••• P••••	GENERAL COUNSEL	Na	yes	10/2022	Jul 10, 2026

Relationships

Controls (9)

← F•••••••• J•••••• S••••••OwnerCO-CHAIRMAN, ownership code NA, individual
Jul 10, 2026 to presentfactForm ADV
← K••• J••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jul 10, 2026 to presentfactForm ADV
← K•••••• J•••••••• M••••••OwnerCO-CHIEF OPERATING OFFICER, ownership code NA, individual
Jul 10, 2026 to presentfactForm ADV
← J••••• M•••••••• R••••OwnerCO-CHAIRMAN, ownership code NA, individual
Jul 10, 2026 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9eb07eed-3788-9097-cae5-1959aa2b3b3b
First observed: Jul 10, 2026
Last observed: Jul 10, 2026 2 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.