DFX Intelligence

Y••••••• A•••• M••••••••• C•: 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 adviserformer SEC adviserNot on rosterRAUM 10b 100b

Y••••••• A•••• M••••••••• C•

CRD 107559

AUSTIN, 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 graphs

Data as of Mar 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Mar 15, 2012
1 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
Regulatory AUM: $14B••• Locked
Discretionary RAUM: $14B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,274
Private funds

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E•••••• B•• F••• L•	Hedge Fund	$1.6M	Mar 15, 2012	2	Mar 15, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• K•••• A•••••	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	05/2005	Mar 15, 2012	Mar 15, 2012
B•••• R•••••• W•••••	SENIOR VICE PRESIDENT	Na	yes	04/1992	Mar 15, 2012	Mar 15, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••• B•• G•• L•	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 15, 2012	$14B	$14B	n/a	n/a	n/a	1	$1.6M

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	$14B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (1)

→ E•••••• B•• F••• L•Private fundHedge Fund, IA
Mar 15, 2012 to presentfactForm ADV

Controls (6)

← Y•••••••• D•••••• A•••••OwnerPRESIDENT, TREASURER AND CO-CHIEF INVESTMENT OFFICER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV
← B•••• R•••••• W•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← A•••••• K•••• A•••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 15, 2012
Last observed: Mar 15, 2012 176 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.