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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SEC-registered adviser
P•• O•• I••••••••• A••••••• I••
Latest filing Apr 1, 2026
First filing on the tape Mar 27, 2012 · 27 filings
SEC status approved since Jan 12, 1990
RAUM
$785M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
52%
$412M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$785M as of Apr 1, 2026
Mar 27, 2012$160M then
HNW client RAUM$368M as of Apr 1, 2026
Apr 4, 2018$230M then
State-registered IARs (5.B.3)5 as of Apr 1, 2026
Apr 1, 20133 then
Employees (5.A)12 as of Apr 1, 2026
Apr 1, 20134 then
Private funds12 as of Apr 1, 2026
Mar 27, 20121 then
RAUM +17% over the last fiscal year+8.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- ria with heavy a•••••••••s · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$373M48%
- High-net-worth individuals$368M47%
- Individuals$43.9M5.6%
- Individual clients
- 123reported
- HNW clients
- 175reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 322reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.52 fund_share=0.48 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••••• R••••Certified Financial Planner | Houston, Tx | Jan 2, 2003 | 36 y | 0 |
| J••• F• P•••• | Houston, Tx | Jan 3, 2003 | 35 y | 0 |
| D••••• C•••••• E••••Certified Financial Planner | Houston, Tx | Jan 7, 2011 | 31 y | 1 |
| N••••• A••••• N•••••Certified Financial Planner | Houston, Tx | Feb 28, 2017 | 15 y | 0 |
| J• S•••• P••••• | Houston, Tx | Apr 12, 2017 | 26 y | 4 |
| L••••• D••••••• I•••• R•••• H••• | Houston, Tx | Feb 4, 2025 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••••• L•• P••• to R•• A•••••••Aug 20, 2020 · RIA to RIA
- J••••••• S•••• to J••• M••••• S••••••••• L••Jan 8, 2010 · Other
Joined, latest
- J• S•••• P••••• from M••••• S••••••Apr 12, 2017 · Other
- J••••••• L•• P••• from C•••••• S••••• • C••• I•••Mar 29, 2017 · Other
- D••••• C•••••• E•••• from C•••••• S••••• • C••• I•••Jan 7, 2011 · Other
Private funds
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• O•• R••• E••••• D••••••••• F••• I• | Hedge Fund | $74.2M | 98 | Mar 24, 2015 |
| P•• O•• R••• E••••• D••••••••• F••• I• M•••••• L• | Hedge Fund | $66.8M | 132 | May 25, 2017 |
| P•• O•• A••••••••• I••••• F••• M•••••• L• | Hedge Fund | $47.7M | 150 | Apr 1, 2021 |
| P•• O•• R••• E••••• I••••• F••• | Real Estate Fund | $40.0M | 124 | Mar 24, 2015 |
| P•• O•• A••••••••• I••••• F•••• L•no longer reported | Private Equity Fund | $32.6M | 118 | Sep 21, 2016 |
| P•• O•• O••••••••• F••• 3• M•••••• L• | Hedge Fund | $25.9M | 94 | Mar 31, 2022 |
| P•• O•• T••••••• S••••••••• M•••••• L• | Hedge Fund | $23.4M | 94 | Nov 1, 2021 |
| P•• O•• T••••• A••••••• F••• 1• L• | Hedge Fund | $19.9M | 81 | Mar 31, 2024 |
| P•• O•• O••••••••• F••• I• M•••••• L• | Hedge Fund | $19.0M | 126 | Oct 31, 2018 |
| P•• O•• P•••••• S•••••• L• | Hedge Fund | $15.3M | 62 | Mar 27, 2012 |
| P•• O•• R••• E••••• F••• V••• L••• | Hedge Fund | $12.6M | 70 | Mar 29, 2016 |
| P•• O•• L••• B•••••• F••• I• L•no longer reported | Real Estate Fund | $11.6M | 23 | Apr 1, 2020 |
| P•• O•• O••••••••• F••• 4• M•••••• L• | Hedge Fund | $7.4M | 29 | Mar 31, 2024 |
| P•• O•• R••• E••••• F••• V•no longer reported | Real Estate Fund | $4.0M | 39 | Mar 24, 2015 |
| J•• R••• E••••• F••• I• • L•no longer reported | Real Estate Fund | $2.7M | 12 | Apr 1, 2013 |
| P•• O•• R••• E••••• F••• V•no longer reported | Real Estate Fund | $2.1M | 26 | Mar 31, 2014 |
| J•• R••• E••••• F••• I••• L•no longer reported | Hedge Fund | $1.7M | 14 | Dec 2, 2013 |
| P•• O•• R••• E••••• F••• I•no longer reported | Real Estate Fund | $1.1M | 15 | Mar 31, 2014 |
| J•• R••• E••••• F••• I•• L•no longer reported | Real Estate Fund | $284,000 | 17 | Dec 2, 2013 |
Owners and control persons
Schedule A and B, latest filing
- R••••• J••••• B•••••• · Presidentcontrolsince 01/2005 · owns 75% or more
- E••••• D•••••• C•••••• · Ccosince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
- B•••••• R••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 336 to 322Apr 2, 2025 to Apr 1, 2026
- Corporate clients · 16 to 0Apr 2, 2025 to Apr 1, 2026
- HNW clients · 142 to 175Apr 2, 2025 to Apr 1, 2026
- Individual clients · 160 to 123Apr 2, 2025 to Apr 1, 2026
- Pooled vehicle clients · 18 to 24Apr 2, 2025 to Apr 1, 2026
- Private funds · 10 to 12Apr 2, 2025 to Apr 1, 2026
- Discretionary RAUM · $672M to $785MApr 2, 2025 to Apr 1, 2026
- HNW RAUM · $251M to $368MApr 2, 2025 to Apr 1, 2026
- Individual RAUM · $42.1M to $43.9MApr 2, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $334M to $373MApr 2, 2025 to Apr 1, 2026
- RAUM · $672M to $785MApr 2, 2025 to Apr 1, 2026
- Accounts · 358 to 336Nov 5, 2024 to Apr 2, 2025
- Corporate clients · 25 to 16Nov 5, 2024 to Apr 2, 2025
- HNW clients · 144 to 142Nov 5, 2024 to Apr 2, 2025
- Individual clients · 171 to 160Nov 5, 2024 to Apr 2, 2025
- Employees · 9 to 12Nov 5, 2024 to Apr 2, 2025
- Financial planning clients · 251-500 to 251-500Nov 5, 2024 to Apr 2, 2025
- State-registered IARs · 4 to 5Nov 5, 2024 to Apr 2, 2025
- Private funds · 11 to 10Nov 5, 2024 to Apr 2, 2025
- Discretionary RAUM · $673M to $672MNov 5, 2024 to Apr 2, 2025
- HNW RAUM · $164M to $251MNov 5, 2024 to Apr 2, 2025
- Individual RAUM · $72.6M to $42.1MNov 5, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $353M to $334MNov 5, 2024 to Apr 2, 2025
- RAUM · $673M to $672MNov 5, 2024 to Apr 2, 2025
- Accounts · 685 to 358Apr 3, 2023 to Mar 31, 2024
- Corporate clients · 6 to 25Apr 3, 2023 to Mar 31, 2024
- HNW clients · 158 to 144Apr 3, 2023 to Mar 31, 2024
- Individual clients · 121 to 171Apr 3, 2023 to Mar 31, 2024
- Pooled vehicle clients · 9 to 18Apr 3, 2023 to Mar 31, 2024
- Employees · 10 to 9Apr 3, 2023 to Mar 31, 2024
- Financial planning clients · 101-250 to 251-500Apr 3, 2023 to Mar 31, 2024
- Private funds · 9 to 11Apr 3, 2023 to Mar 31, 2024
- Discretionary RAUM · $617M to $673MApr 3, 2023 to Mar 31, 2024
- HNW RAUM · $248M to $164MApr 3, 2023 to Mar 31, 2024
- Individual RAUM · $45.6M to $72.6MApr 3, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $295M to $353MApr 3, 2023 to Mar 31, 2024
- RAUM · $617M to $673MApr 3, 2023 to Mar 31, 2024
- Accounts · 694 to 685Sep 9, 2022 to Apr 3, 2023
- HNW clients · 149 to 158Sep 9, 2022 to Apr 3, 2023
- Individual clients · 109 to 121Sep 9, 2022 to Apr 3, 2023
Signals
1 dated events
- P•• O•• I••••••••• A••••••• I•• reported RAUM $616.6M, up 25% from $491.8M (2021-11-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•• O•• I••••••••• A••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 713-871-8300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-871-8307reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.p•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-871-8300reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- p•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P•• O•• I••••••••• A••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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