DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I•••••••• C•••••• M••••••••• L••

CRD 165861

DALLAS, TX

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Search this name across graphsid dfx:ria:e4ebfe12-3190-dc56-d7e3-df0c4240d007

Data as of Jun 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 22, 2017 to Jun 27, 2024
19 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: $81.8M••• Locked
Discretionary RAUM: $75.9M
Private client RAUM: $39.0Mderived••• Locked
Private client share: 48%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••••••• S•••••••• F•••• L•	Hedge Fund	$40.1M	Oct 18, 2024	10	Feb 22, 2017	reported	021-280040
S••••••••• I••••• F•••• L•	Hedge Fund	$2.7M	Oct 18, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• W••••••• G••••••	CHIEF FINANCIAL OFFICER AND CCO	C	yes	01/2017	Feb 22, 2017	Jun 27, 2024
S••••• R•••• M•••••	MANAGER AND MEMBER	D	yes	10/2012	Feb 22, 2017	Jun 27, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dallas	TX	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$81.8M	$131M	-37.5%	$153M	-18.8%	2	3	1	0

Relationships

Affiliated with (1)

← B•••••• A•••• M•••••••••Registered adviserother investment adviser, control
factForm ADV

Advises (4)

→ S••••••••• I••••• F•••• L•Private fundHedge Fund, ERA
Jan 8, 2019 to presentfactForm ADV
→ I•••••••• S•••••••• F•••• L•Private fundHedge Fund, ERA
Feb 22, 2017 to presentfactForm ADV
→ I•••••••• I••••• F•••• L•

Dated events

Occurred
Feb 22, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4ebfe12-3190-dc56-d7e3-df0c4240d007
First observed: Feb 22, 2017
Last observed: Jun 27, 2024 27 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.