DFX Intelligence

T••• T••• 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 100m 1b

T••• T••• C•••••• M••••••••• L••

CRD 149474

FORT WORTH, TX

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Search this name across graphsid dfx:ria:ed039337-9468-f249-1412-16eb5b3e3bb8

Data as of Jul 14, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2012 to Jul 14, 2020
15 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: $599M••• Locked
Discretionary RAUM: $481M
Private client RAUM: $599Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• A•••• K•••	MANAGING MEMBER/CHIEF OPERATIONS OFFICER	D	yes	04/2009	Jan 23, 2012	Jul 14, 2020
G••••••••• D•••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2014	Jan 23, 2012	Jul 14, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Northport	Al	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$599M	$518M	15.8%	$301M	25.8%	7	7	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	2	Nov 13, 2020	Oct 13, 2020	FORT WORTH, TX	Team lift out	RIA to ibd	100.0%

Relationships

Controls (3)

← G••••••••• D•••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2012 to presentfactForm ADV
← K•••• S••••••• J••••••OwnerMANAGING MEMBER/CHIEF EXECUTIVE OFFICER, ownership code D, individual
Jan 23, 2012 to presentfactForm ADV
← D•••• A•••• K•••OwnerMANAGING MEMBER/CHIEF OPERATIONS OFFICER, ownership code D, individual
Jan 23, 2012 to presentfactForm ADV

Registered with (2)

← S•••••• J•••••• K•••

Dated events

Occurred
Feb 27, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$252M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed039337-9468-f249-1412-16eb5b3e3bb8
First observed: Jan 23, 2012
Last observed: Jul 14, 2020 75 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.