DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM under $100M

E•• A•••• M••••••••• L••

CRD 106184

DALLAS, TX

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Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 18
On other graphs: 2
Observed: Mar 30, 2012 to Aug 4, 2026
29 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

F••• K••• C•••••• A••••••• I•••

Private equity manager · same CRD, same SEC file number

Private Creditidentity

E•• A•••• M••••••••• L••

Private credit manager · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $70.0M••• Locked
Discretionary RAUM: $70.0M
Private client RAUM: $70.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $70.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• F••••••• S•••••••	Chartered Financial Analyst	DALLAS, TX	0	24	4	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••• E••••• B••••• P••••••• V•••• L•	Private Equity Fund	$27.7M	Mar 27, 2019	4	Mar 31, 2014	dropped	021-211204
B•••••• E••••• I••••• F•••• L•	Hedge Fund	$23.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• E•••••• F•••••••	PRESIDENT, DIRECTOR, CHIEF INVESTMENT OFFICER	E	yes	01/2021	Mar 27, 2019	Mar 25, 2024
K••••••• M••••••• R•••	DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	no	01/2021	Nov 28, 2016	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• R••• K••••••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$70.0M	$60.0M	16.6%	$180M	-27.0%	1	1	0	0

Relationships

Registered with (2)

← E••••• F••••••• S•••••••Advisorregistration: previous registration
Mar 26, 2023 to Dec 31, 2023factForm ADV
← S••••• K••••••••• V•••••••Advisorregistration: previous registration
Oct 12, 2017 to Dec 31, 2022factForm ADV

Advises (33)

→ B•••••• S•••••••• I••••• F•••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
25 Mar 2024
Succession filed (Item 4)
••• Locked
Form ADV
Occurred
25 Mar 2024
Control person left
••• Locked
Form ADV
Occurred
25 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
down $110M
Occurred
31 Dec 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
31 Mar 2022
Control person left4 events
E•• A•••• M••••••••• L••: control person left, 4 events, on 31 Mar 2022
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Aug 4, 2026 51 days 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••• C••••• P•••••••• L•	Other Private Fund	$5.9M	Mar 30, 2012	10	Mar 30, 2012	dropped	n/a
B•••••• E••••• I••••• F•••• L•	Hedge Fund	$5.9M	Feb 2, 2016	3	Mar 31, 2014	dropped	n/a
B•••••••• I••••••••• L•	Hedge Fund	$5.8M	Mar 30, 2018	6	Apr 1, 2013	dropped	n/a
T•••• E••••• B••••• P••••••• V•• L•	Private Equity Fund	$5.0M	Dec 8, 2017	18	Mar 30, 2012	dropped	n/a
H••••••• P•••••••• L•••	Other Private Fund	$5.0M	Mar 30, 2012	5	Mar 30, 2012	dropped	n/a
B••••• I••••••••• L•	Other Private Fund	$4.6M	Jun 19, 2013	2	Mar 30, 2012	dropped	n/a
H•••••••• E••••• P•••••••• L•	Other Private Fund	$4.2M	Mar 30, 2012	5	Mar 30, 2012	dropped	n/a
T•••• E••••• B••••• P••••••• V••• L•	Private Equity Fund	$4.0M	Dec 8, 2017	17	Mar 30, 2012	dropped	n/a
T••••••••• G••••• O••••••••• L•	Private Equity Fund	$3.6M	Mar 27, 2019	3	Mar 31, 2017	dropped	n/a
T•••• E••••• B••••• P••••••• I••• L•	Private Equity Fund	$2.7M	Feb 2, 2016	79	Mar 30, 2012	dropped	n/a
R•••••• P•••••••• L•	Other Private Fund	$2.3M	Mar 30, 2012	2	Mar 30, 2012	dropped	n/a
T••••••••• P•••••• B••••• P••••••• I•• L•	Private Equity Fund	$1.9M	Mar 27, 2019	10	Mar 30, 2012	dropped	n/a
T•••• E••••• B••••• P••••••• V• L•	Private Equity Fund	$1.9M	Dec 8, 2017	13	Mar 30, 2012	dropped	n/a
G•••••••• S••••••••• I•• L•	Other Private Fund	$1.8M	Mar 30, 2012	5	Mar 30, 2012	dropped	n/a
B•••••• D••••••••• I••••• F•••• L•	Hedge Fund	$1.4M	Feb 2, 2016	3	Mar 31, 2014	dropped	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$367M	$367M	8	5	n/a	16	$292M
2014	Mar 31, 2015	$456M	$456M	10	5	n/a	25	$429M
2013	Mar 31, 2014	$461M	$461M	10	5	n/a	25	$459M
2012	Apr 1, 2013	$398M	$398M	10	5	n/a	22	$393M
2011	Mar 30, 2012	$430M	$430M	n/a	n/a	n/a	26	$417M