DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

F••••••• I••••••••• M••••••••• C•

F••••••• I••••••••• M••••••••• C•., CRD 110430

DALLAS, TX

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Search this name across graphsid dfx:ria:fe13d1a6-501a-f32a-3159-ec6a80908826

Data as of Jul 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 3
On other graphs: 0
Observed: Dec 2, 2011 to Jul 29, 2020
63 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: $3.3B••• Locked
Discretionary RAUM: $3.3B
Private client RAUM: $3.2Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 40

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••• P••••••• I• L•••	Hedge Fund	$115,739	Jan 3, 2014	6	Mar 30, 2012	dropped	021-102597

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J••••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2016	Feb 1, 2016	Jul 29, 2020
H••••••••• B••••• S•••	VP & SECRETARY	C	yes	05/2001	Dec 2, 2011	Jul 29, 2020

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	4	no
Austin	TX	United States	4	no
SAN RAMON	CA	United States	2	no
Houston	TX	United States	2	no
Scottsdale	Az	United States

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	$3.3B	$2.5B	30.1%	$1.9B	21.1%	40	36	19	15

Relationships

Controls (4)

← S•••••• G•••• T•••••OwnerPRESIDENT, ownership code C, individual
Dec 2, 2011 to presentfactForm ADV
← H••••••••• B••••• S•••OwnerVP & SECRETARY, ownership code C, individual
Dec 2, 2011 to presentfactForm ADV
← S•••••• R••••••• G•••••••OwnerVP & TREASURER, ownership code C, individual
Dec 2, 2011 to presentfactForm ADV
← C••••••••• J••••••• L••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 1, 2016 to presentfact

Dated events

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

Occurred
Mar 25, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$760M
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$472M

Show 1 bookkeeping events

Occurred
Mar 28, 2019
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe13d1a6-501a-f32a-3159-ec6a80908826
First observed: Dec 2, 2011
Last observed: Jul 29, 2020 74 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.