DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

P•••••• A•••• M••••••••• L•

CRD 283184

HOUSTON, TX

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Data as of Nov 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 32
On other graphs: 2
Observed: Mar 7, 2016 to Nov 14, 2025
23 observations

Across DFX

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

Private Equityidentity

P•••••• M••• F••••••• L•

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

P•••••• A•••• M••••••••• L•

Capital provider to sponsors · key_crd, key_sfn_adviser, 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: $90.1M••• Locked
Discretionary RAUM: $90.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• M••• F•••••• F•••• L•••	Private Equity Fund	$185M	Mar 23, 2020	40	Jul 15, 2016	dropped	021-263536
R••••••• R••••••• C••••••• L•••	Private Equity Fund	$74.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• F•••••• D•••	Owner	E	yes	03/2023	Jun 5, 2023	Sep 9, 2024
A•• I••••• D•••••	Owner	E	yes	03/2023	Jun 5, 2023	Sep 9, 2024
A•••• I••••••••• G•••• G•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• M••• F•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
R••••••• R••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$90.1M	$125M	-28.1%	$256M	-29.4%	13	8	0	0

Relationships

Advises (3)

→ R••••••• R••••••• C••••••• L•••Private fundPrivate Equity Fund, ERA
Mar 30, 2021 to presentfactForm ADV
→ P•••••• M••• F•••••• F•••• L•••Private fundPrivate Equity Fund, IA, no longer reported
Jul 15, 2016 to Mar 23, 2020factForm ADV
→ P•••••• F••• I• F•••••• L•••Private fundPrivate Equity Fund, IA, no longer reported
Jul 15, 2016 to Aug 4, 2016factForm ADV

Affiliated with (1)

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
15 Apr 2026
Ria majority owner change2 events
P•••••• A•••• M••••••••• L•: ria majority owner change, 2 events, on 15 Apr 2026
- ••• Locked
- ••• Locked
Occurred
15 Apr 2026
Ria registration change
••• Locked
Form ADV
Occurred
15 Apr 2026
Ria principal change3 events
P•••••• A•••• M••••••••• L•: ria principal change, 3 events, on 15 Apr 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
15 Apr 2026
Ria indirect owner change13 events
P•••••• A•••• M••••••••• L•: ria indirect owner change, 13 events, on 15 Apr 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
5 Jun 2023
Control person joined2 events
P•••••• A•••• M••••••••• L•: control person joined, 2 events, on 5 Jun 2023
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2016
Last observed: Nov 14, 2025 10 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.

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• K••••• N••	Owner	C	yes	03/2023	Jun 5, 2023	Sep 9, 2024
P•••••• M••• F•••••• L••	GENERAL PARTNER	Na	yes	02/2016	Mar 7, 2016	Sep 9, 2024
Q•••• A•••• M••••••••• L••	MANAGING MEMBER	E	yes	03/2023	Mar 30, 2023	Sep 9, 2024
Q•••• A•••• M••••••••• L••	LIMITED PARTNER	E	yes	03/2023	Mar 30, 2023	Sep 9, 2024
Q•••• I•••	MANAGING MEMBER	F	yes	03/2023	Mar 30, 2023	Sep 9, 2024
H•••••• N•••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	no	12/2023	Dec 22, 2023	Sep 9, 2024
S•••••••• D•••••• A••••	PRESIDENT AND CHIEF OPERATIONS OFFICER	Na	no	01/2024	Mar 27, 2024	Sep 9, 2024