DFX Intelligence

L••••••••• C•••••• P••••••• 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

L••••••••• C•••••• P••••••• L••

CRD 174312

DALLAS, TX

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Search this name across graphsid dfx:ria:eb3eea08-5c83-cbb5-656c-f6576b47949b

Data as of May 14, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 6, 2015 to May 14, 2015
5 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: $48.5M••• Locked
Discretionary RAUM: $48.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••••••• C•••••• P••••••• I• L•	Hedge Fund	$28.9M	May 14, 2015	11	Jan 6, 2015	reported	n/a
L••••••••• C•••••• P••••••• F••• Q• L•	Hedge Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• D•••••• G•••••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER AND MEMBER	E	yes	09/2014	Jan 6, 2015	May 14, 2015
M••••• J••••• H•••••	HEAD OF TRADING	Na	no	12/2014	Jan 6, 2015	May 14, 2015

Affiliates (Item 7.A)

••• Locked

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

Relationships

Advises (2)

→ L••••••••• C•••••• P••••••• F••• Q• L•Private fundHedge Fund, IA
Jan 6, 2015 to presentfactForm ADV
→ L••••••••• C•••••• P••••••• I• L•Private fundHedge Fund, IA
Jan 6, 2015 to presentfactForm ADV

Controls (1)

← G••••••• D•••••• G•••••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER AND MEMBER, ownership code E, individual
Jan 6, 2015 to presentfactForm ADV

Owns (1)

Dated events

Occurred
Jan 6, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb3eea08-5c83-cbb5-656c-f6576b47949b
First observed: Jan 6, 2015
Last observed: May 14, 2015 138 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.