DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•••••••• A•••••••• I•••

CRD 159765

AUSTIN, TX

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Search this name across graphsid dfx:ria:a8ba84a9-10fd-120c-98c2-011263652f6c

Data as of Aug 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 1, 2011 to Aug 6, 2012
5 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
SEC number: 801-72937
CRD: 159765
Filings on the tape: 5
First filed: Dec 1, 2011
Latest filed: Aug 6, 2012
Organised

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• M••••••• L••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2011	Dec 1, 2011	Aug 6, 2012
G•••••• J•••• J•••••	Shareholder	C	yes	01/2010	Dec 1, 2011	Aug 6, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••• S••••••••• G••••• I•••	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
2011	Aug 6, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← G•••••• J•••• J•••••OwnerSHAREHOLDER, ownership code C, individual
Dec 1, 2011 to presentfactForm ADV
← C••••••• M••••••• L••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← H•••••• R•••••• W••••••OwnerPRESIDENT, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← W•••••• C•••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 1, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a8ba84a9-10fd-120c-98c2-011263652f6c
First observed: Dec 1, 2011
Last observed: Aug 6, 2012 172 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.