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S••••••• F••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••••• F••••• P•••••••• L••

CRD 168230

DALLAS, TX

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Search this name across graphsid dfx:ria:f0f6cde4-b22b-64d3-c89f-2fc8a9cf96f5

Data as of Oct 23, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 1
On other graphs: 0
Observed: Oct 23, 2013 to Oct 23, 2013
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: $0Item 5.F on the latest filing (2013-10-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts

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••••••• L•••	Owner	C	yes	12/2005	Oct 23, 2013	Oct 23, 2013
A•••••• C••••••• L•••	Member	D	yes	06/2013	Oct 23, 2013

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
C••••••••• M•••••• P••••••• G•• L•	n/a	State registered	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ C••••••••• M•••••• P••••••• G•• L•Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (16)

← B••••• P••••••• S•••••••OwnerOWNER, ownership code C, individual
Oct 23, 2013 to presentfactForm ADV
← B••••• J•••• R•••OwnerOWNER, ownership code C, individual
Oct 23, 2013 to presentfactForm ADV
← A••••• B••••••• W•OwnerOWNER, VICE PRESIDENT AND DIRECTOR, ownership code C, individual

Dated events

Occurred
Oct 23, 2013
First Form ADV filing
S••••••• F••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0f6cde4-b22b-64d3-c89f-2fc8a9cf96f5
First observed: Oct 23, 2013
Last observed: Oct 23, 2013 157 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.