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

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

R• C•••••• L••

CRD 297839

HOUSTON, TX

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Search this name across graphsid dfx:ria:a4c62dec-163f-f1ca-14b3-e91079ad02d1

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 7
On other graphs: 1
Observed: Jul 17, 2018 to Mar 30, 2023
11 observations

Across DFX

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

Allocatorsidentity

R• C•••••• L••

Investment consultant · 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: $312MItem 5.F on the latest filing (2023-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $295M
Private client RAUM: $290MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%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
L••••• G••••••• J•••••	CHIEF COMPLIANCE OFFICER	E	yes	12/2001	Jul 17, 2018	Mar 30, 2023

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$312M	$365M	-14.4%	$270M	5.0%	5	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••• W••••• S••••••••	5	Jul 28, 2023	Jan 24, 2023	HOUSTON, TX	Firm absorbed	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R• C••••••• L••	4	Jan 11, 2019	Jan 15, 2019	HOUSTON, TX	Firm absorbed	Other	100.0%

Relationships

Controls (1)

← L••••• G••••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 17, 2018 to presentfactForm ADV

Registered with (5)

← G•••••• J••••• L••••Advisorregistration: previous registration
Aug 17, 2018 to Jul 28, 2023factForm ADV
← NICOLAS JOHANN KNAPIKAdvisorregistration: previous registration
Jan 11, 2019 to Jul 28, 2023factForm ADV
← MATTHEW L LANKFORD

Dated events

Occurred
Jul 28, 2023
Firm absorbed
R• C•••••• L••'s advisors moved to A•••••• W••••• S•••••••• (Houston, TX): 5 of 5 registered, on the same day
Form ADVobserved 7 days ago
5 advisors
Occurred
Jul 28, 2023
Advisor changed firm
Thomas Lawrence Brown left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-19)
Form ADVobserved 7 days ago
Occurred
Jul 28, 2023
Advisor changed firm
Nicolas Johann Knapik left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4c62dec-163f-f1ca-14b3-e91079ad02d1
First observed: Jul 17, 2018
Last observed: Mar 30, 2023 42 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.