DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

I••••••••• R••••••• • A•••• M••••••••• I••

Former SEC-registered adviserDallas, TexasCRD 105372SEC 801-30967IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 21, 2012 · 8 filings
RAUM
$370M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$370M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$370M as of Mar 28, 2019
Mar 21, 2012$330M then
HNW client RAUM$130M as of Mar 28, 2019
Mar 28, 2018$185M then
State-registered IARs (5.B.3)3 as of Mar 28, 2019
Mar 21, 20120 then
Employees (5.A)4 as of Mar 28, 2019
Apr 1, 20135 then
Private funds: no history
RAUM -5.2% over the last fiscal year+2.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$241M65%
  • High-net-worth individuals$130M35%
Individual clients
78reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
108reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••••• G•••••• L•••• · Chairman Emerituscontrol
    since 09/1987 · owns 5% to 10%
  • A•••••••• B••••• D•••• · Cco
    since 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 106 to 108
    Mar 28, 2018 to Mar 28, 2019
  • HNW clients · 34 to 30
    Mar 28, 2018 to Mar 28, 2019
  • Individual clients · 72 to 78
    Mar 28, 2018 to Mar 28, 2019
  • Employees · 5 to 4
    Mar 28, 2018 to Mar 28, 2019
  • HNW RAUM · $185M to $130M
    Mar 28, 2018 to Mar 28, 2019
  • Individual RAUM · $206M to $241M
    Mar 28, 2018 to Mar 28, 2019
  • Non-discretionary RAUM · $391M to $370M
    Mar 28, 2018 to Mar 28, 2019
  • RAUM · $391M to $370M
    Mar 28, 2018 to Mar 28, 2019
  • Related broker-dealer · true to false
    Mar 28, 2018 to Mar 28, 2019
  • Accounts · 953 to 106
    Mar 30, 2017 to Mar 28, 2018
  • Advisory activities · 5 to 4
    Mar 30, 2017 to Mar 28, 2018
  • HNW clients · unset to 34.0
    Mar 30, 2017 to Mar 28, 2018
  • Individual clients · unset to 72.0
    Mar 30, 2017 to Mar 28, 2018
  • Other offices · unset to 1.0
    Mar 30, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 184620271.0
    Mar 30, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 206246948.0
    Mar 30, 2017 to Mar 28, 2018
  • Non-discretionary RAUM · $357M to $391M
    Mar 30, 2017 to Mar 28, 2018
  • RAUM · $357M to $391M
    Mar 30, 2017 to Mar 28, 2018
  • Accounts · 414 to 953
    Mar 29, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $348M to $357M
    Mar 29, 2016 to Mar 30, 2017
  • RAUM · $348M to $357M
    Mar 29, 2016 to Mar 30, 2017
  • Accounts · 512 to 414
    Mar 30, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $344M to $348M
    Mar 30, 2015 to Mar 29, 2016
  • RAUM · $344M to $348M
    Mar 30, 2015 to Mar 29, 2016
  • Accounts · 484 to 512
    Mar 27, 2014 to Mar 30, 2015
  • Advisory employees · 4 to 3
    Mar 27, 2014 to Mar 30, 2015
  • Employees · 6 to 5
    Mar 27, 2014 to Mar 30, 2015
  • Insurance-licensed employees · 0 to 3
    Mar 27, 2014 to Mar 30, 2015
  • State-registered IARs · 4 to 3
    Mar 27, 2014 to Mar 30, 2015
  • Non-discretionary RAUM · $363M to $344M
    Mar 27, 2014 to Mar 30, 2015
  • RAUM · $363M to $344M
    Mar 27, 2014 to Mar 30, 2015
  • Accounts · 462 to 484
    Apr 1, 2013 to Mar 27, 2014
  • Advisory employees · 3 to 4
    Apr 1, 2013 to Mar 27, 2014
  • Employees · 5 to 6
    Apr 1, 2013 to Mar 27, 2014
  • State-registered IARs · 3 to 4
    Apr 1, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $355M to $363M
    Apr 1, 2013 to Mar 27, 2014
  • RAUM · $355M to $363M
    Apr 1, 2013 to Mar 27, 2014
  • Accounts · 425 to 462
    Mar 21, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Mar 21, 2012 to Apr 1, 2013
  • BD registered reps · unset to 3.0
    Mar 21, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026