DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N••••••• C•••••• P•••••••• L••

CRD 161068

DALLAS, TX

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Search this name across graphsid dfx:ria:d94c9049-d812-d6c9-2856-2982871c84b6

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 3
Observed: Feb 14, 2012 to Sep 1, 2026
20 observations

Across DFX

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

Private Equityidentity

N••••••• C•••••• P•••••••• L••

Private equity manager · cited, shared crd

Independent Sponsorsidentity

N••••••• C•••••• P•••••••• L••

Capital provider to sponsors · cited, shared crd

Allocatorsidentity

N••••••• C•••••• P•••••••• L••

Manager with allocator commitments · cited, shared crd

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=false related_bank=false bd_reps=0.0
Regulatory AUM: $544M••• Locked
Discretionary RAUM: $544M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $272Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• C•••••• R••••••	n/a	DALLAS, TX	12	20	n/a	no
T•••••• P• C•••••••	n/a	DALLAS, TX	12	20

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••••• C•••••• P••••••• I•••• L•	Private Equity Fund	$144M	Sep 1, 2026	10	Mar 29, 2019	reported	021-328658
N••••••• C•••••• P••••••• I•• L•	Private Equity Fund	$87.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• T••••••• M••••••	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	Na	yes	02/2017	Feb 3, 2017	Mar 28, 2024
C•••••••• T••••••• P•	CO-FOUNDER AND MANAGING DIRECTOR	D	yes	04/2006	Feb 14, 2012	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

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

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	0	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	$544M	$809M	-32.7%	$1.3B	-25.9%	8	11	0	0

Relationships

Advises (7)

→ N••••••• C•••••• P••••••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2017 to presentfactForm ADV
→ N••••••• C•••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ N••••••• C•••••• P••••••• I••••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2017 to presentfactForm ADV
→ N••••••• C•••••• P••••••• I••••• L•••

Dated events

Occurred
Sep 1, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-594M
Occurred
Sep 1, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-166M
Occurred
Sep 1, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-162M
Occurred
Sep 1, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d94c9049-d812-d6c9-2856-2982871c84b6
First observed: Feb 14, 2012
Last observed: Sep 1, 2026 22 days 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.