DFX Intelligence

V•••••• N••••• I••••••••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

V•••••• N••••• I••••••••• M••••••••• L•••

CRD 106975

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c2798828-92fc-bad6-ddc4-f71ae499c0d7

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 7
On other graphs: 1
Observed: Dec 20, 2011 to Mar 30, 2026
29 observations

Across DFX

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

Independent Sponsorsidentity

V•••••• N••••• I••••••••• 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: other adviserderivedprivate_client_share=0.04 fund_share=0.54 institutional_share=0.24 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $487Mderived••• Locked
Private client share: 4%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $2.0Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• E••••• F••••••	n/a	HOUSTON, TX	25	27	1	no
C••••••••• D•••• W•••••	Chartered Financial Analyst	HOUSTON, TX	23	27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• H•••••••• L•••	Other Private Fund	$43.0M	Mar 29, 2016	5	Mar 28, 2013	dropped	n/a
V•••••	Other Private Fund	$12.6M	May 25, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••	Shareholder	E	yes	07/2009	Dec 20, 2011	Jun 28, 2024
G•••••• D••••• L•••••••	Director	Na	yes	05/2013	Mar 28, 2014	Jun 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••••• S••••• • C••••••• L•••	n/a	Other adviser	$387B	N	yes	n/a
H••••• A••••••••• L•	n/a	Asset manager	$109B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	3	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$12B	$16B	-22.9%	$12B	-0.3%	53	47	1	1

Relationships

Affiliated with (14)

← H••••• • O••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← G•••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← L•••••• S••••• • C••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
← A•• C•••••• M••••••••• L•Registered adviserother investment adviser, bank, common control

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 25, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2798828-92fc-bad6-ddc4-f71ae499c0d7
First observed: Dec 20, 2011
Last observed: Mar 30, 2026 5 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.