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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

A•••••••• C••••••

A•••••••• C•••••• INVESTMENT ADVISER, LLC, CRD 171365

NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:daaaa46a-366b-0f1b-f628-b38228e48e43

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 10
On other graphs: 2
Observed: Sep 11, 2014 to May 14, 2026
26 observations

Across DFX

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

Private Equityidentity

A•••••••• C••••••

Private equity manager · shared crd

Independent Sponsorsidentity

A•••••••• C••••••

Capital provider to sponsors · 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: $1.3BItem 5.F on the latest filing (2026-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• L•••• R••••	n/a	AUSTIN, TX	11	34	n/a	no
A•••• K•••••• M••••	n/a	Austin, TX	6	12

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••••• C•••••• A••••••••• P•••••••• L•••	Private Equity Fund	$96.9M	May 1, 2024	10	Sep 11, 2014	reported	021-226666
A•••••••• C•••••• S•••• P••••••• V••• L••	Private Equity Fund	$57.1M

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
A•••••••• C•••••• E••••••• S•••• O•••••••• P••• A•• T••••	DIRECT OWNER OF 100% OF THE OUTSTANDING S•••• OF A•••••••• C•••••• M••••••••• C•••••••••	E	yes	12/2009	Sep 11, 2014	May 1, 2024
A•••••••• C•••••• E••• G•• L••	GENERAL PARTNER OF E•••••• T•• C••••• F•••• L•	Na	yes	10/2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• S•••• H••••••• 2•••• L••	n/a	n/a	n/a	N	yes	n/a
A•••••••• C•••••• S•••• H••••••• 2•••• L••	n/a	n/a	n/a	N	yes	n/a
A•••••••• C•••••• S•••• H••••••• I••• L••

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
ST. L••••	Mo	United States	27	no
NEW YORK	NY	United States	19	no
Hanover	Nh	United States	18	no
Austin	TX	United States	6	no
Napa	CA

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

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
2025	$1.3B	$795M	62.9%	$580M	30.7%	230	215	6	6

Relationships

Registered with (6)

← N••••••• E••••• M••••••••Advisorregistration: current employment
Nov 25, 2024 to presentfactForm ADV
← J••••• H•• M•••••••Advisorregistration: current employment
Apr 22, 2024 to presentfactForm ADV
← J••••••• E•••• K••••Advisorregistration: current employment
Nov 10, 2023 to presentfactForm ADV
← C•••• L•• N•••••••

Dated events

Occurred
Dec 3, 2025
Ria raum c•••••
A•••••••• C•••••• reported RAUM $1.3B, up 63% from $789.9M (2025-08-26 to 2025-12-03)
Form ADVobserved 7 days ago
$495M
Occurred
Mar 31, 2025
Succession filed (Item 4)
A•••••••• C•••••• reported succeeding to the business of A•••••••• C•••••• (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Mar 29, 2024
Ria raum c•••••
A•••••••• C•••••• reported RAUM $832.5M, up 46% from $570.0M (2023-05-18 to 2024-03-29)
Form ADVobserved 7 days ago
$262M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:daaaa46a-366b-0f1b-f628-b38228e48e43
First observed: Sep 11, 2014
Last observed: May 14, 2026 4 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.

Controls (12)

← D••••• M••••••• E•••••OwnerMANAGER AND MEMBER OF A•••••••• C•••••• S•••• H•••••••• L••, ownership code A, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← S••••• S•••••• T•••••••OwnerMANAGER OF A•••••••• C•••••• S•••• T•• E••••• I•••••••• L••, ownership code NA, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← W••••••••• C•••• C•••••••••OwnerMANAGER, MEMBER AND DIRECT OWNER OF 100% OF A•••••••• C•••••• S•••• T•• E••••• I•••••••• L••, ownership code E, individual
Mar 30, 2020 to May 1, 2024factForm ADV
← M•••••• M••••••• S••••OwnerMANAGER AND MEMBER OF A•••••••• C•••••• S•••• H••••••• 2•••• L••, ownership code B, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← D••••••••• J•••••• R•••••OwnerMANAGER AND MEMBER OF A•••••••• C•••••• S•••• H•••••••• L••, ownership code A, individual
Mar 28, 2018 to May 1, 2024factForm ADV
← W•••••• D•••••• F••••••••OwnerTRUSTEE, ownership code F, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← A•••••••• C•••••• E••••••• S•••• O•••••••• P••• A•• T••••OwnerDIRECT OWNER OF 100% OF THE OUTSTANDING S•••• OF A•••••••• C•••••• M••••••••• C•••••••••, ownership code E, domestic entity
Sep 11, 2014 to May 1, 2024factForm ADV
← A•••••••• C•••••• E••• G•• L••OwnerGENERAL PARTNER OF E•••••• T•• C••••• F•••• L•, ownership code NA, domestic entity
Mar 31, 2023 to May 1, 2024factForm ADV
← A•••••••• C•••••• M••••••••• C•••••••••OwnerMANAGER OF A•••••••• C•••••• S•••• P••••••• I•• L••, ownership code NA, domestic entity
Sep 11, 2014 to May 1, 2024factForm ADV
← A•••••••• C•••••• S•••• H••••••• 2•••• L••OwnerMEMBER OF A•••••••• C•••••• S•••• P••••••• V•• L••, ownership code NA, domestic entity
Mar 31, 2023 to May 1, 2024factForm ADV
← A•••••••• C•••••• S•••• H••••••• I•• L••OwnerMEMBER OF A•••••••• C•••••• S•••• P••••••• I•• L••, ownership code NA, domestic entity
Mar 31, 2023 to May 1, 2024factForm ADV
← E••• M••••••••• L••OwnerMANAGER OF E•••••• T•• C••••• F•••• L•, ownership code NA, domestic entity
Mar 31, 2023 to May 1, 2024factForm ADV

Owns (8)

← J••••••• M••••••• T•••••OwnerMEMBER OF A•••••••• C•••••• S•••• H•••••••• L••, ownership code A, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← L••••• T•••••••• D••••••OwnerMEMBER OF A•••••••• C•••••• S•••• H••••••• 2•••• L••, ownership code A, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← F••••••••• B••••••••• L••••OwnerCHIEF FINANCIAL OFFICER OF A•••••••• C•••••• M••••••••• C•••••••••, ownership code NA, individual
Sep 11, 2014 to May 1, 2024factForm ADV
← B••••••• T•••••OwnerMANAGER AND MEMBER OF A•••••••• C•••••• S•••• H••••••• I•• L••, ownership code A, individual
Mar 31, 2023 to May 1, 2024factForm ADV
← G••••••••• J•••••••• I•OwnerMEMBER OF A•••••••• C•••••• S•••• H•••••••• L••, ownership code A, individual
Mar 29, 2024 to May 1, 2024factForm ADV
← A•••••••• C•••••• S•••• H••••••• I••• L••OwnerMEMBER OF A•••••••• C•••••• S•••• P••••••• I••• L••, ownership code NA, domestic entity
Jul 6, 2020 to May 1, 2024factForm ADV
← A•••••••• C•••••• S•••• H•••••••• L••OwnerMEMBER OF A•••••••• C•••••• S•••• P••••••• I•• L••, ownership code NA, domestic entity
Mar 28, 2018 to May 1, 2024factForm ADV
← A•••••••• C•••••• S•••• T•• E••••• I•••••••• L••OwnerMEMBER OF A•••••••• C•••••• S•••• P••••••• I••• L••, ownership code NA, domestic entity
Mar 30, 2020 to May 1, 2024factForm ADV