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

V•••••• N••••• T•••• C••••••

Former SEC-registered adviserHouston, TexasCRD 105782SEC 801-29438IAPD
Latest filing Mar 28, 2013
First filing on the tape Dec 20, 2011 · 4 filings
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$239M as of Mar 28, 2013
Mar 30, 2012$240M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 2
Private funds: no history
RAUM -0.2% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$239M, 56 clientsreportedItem 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
  • is a trust company (6.A.8)
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
178reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$239M for 56 clientsreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F•••• R••••••• B•••• · Chief Compliance Officer, Vice President, Directorcontrol
      since 03/2005 · owns less than 5%
    • F••••••• M•••• E••••• · Senior Vice President, Directorcontrol
      since 03/2002 · owns less than 5%
    • H••••••••• S•••••• M••••• · President, Directorcontrol
      since 12/2011 · owns less than 5%
    • K•••• S••••• H••••• · Vice Presidentcontrol
      since 06/2004 · owns less than 5%
    • B•••••••• M•••••••• M••••••••• · Senior Vice President, Director
      since 12/1997 · owns less than 5%
    • S••••• N•••••• E••••• · Vice President, Director
      since 06/2009 · owns less than 5%
    Entity owners
    • V•••••• N••••• I••••••••• M••••••••• L••• · Shareholder Of V•••••• N••••• T•••• C••••••
      direct · owns 75% or more
    • B••• · Shareholder
      indirect · owns 50% to 75% of N••••••
    • N•••••• · Shareholder
      indirect · owns 75% or more of N•••••• G••••• A•••• M•••••••••
    • N•••••• G••••• A•••• M••••••••• · Shareholder
      indirect · owns 75% or more of N•••••• G••••• A•••• M••••••••• P••••••••• 1•
    • N•••••• G••••• A•••• M••••••••• H•••••••• L•• · Shareholder
      indirect · owns 75% or more of V•••••• N••••• I••••••••• M••••••••• I••.
    • N•••••• G••••• A•••• M••••••••• L••• · Member
      indirect · owns 75% or more of N•••••• G••••• A•••• M••••••••• H•••••••• L••
    • N•••••• G••••• A•••• M••••••••• P••••••••• 1• · Shareholder
      indirect · owns 75% or more of N•••••• U.S. Holdings, Inc.
    • N•••••• G••••• A•••• M••••••••• L•• · General Partner
      indirect · owns F of N•••••• G••••• A•••• M•••••••••, L.P.
    • N•••••• U••• H•••••••• I••• •••••• · Member
      indirect · owns 75% or more of N•••••• G••••• A•••• M••••••••• L••
    • N•••••• U••• H•••••••• I••• •••••• · Limited Partner
      indirect · owns 75% or more of N•••••• G••••• A•••• M•••••••••, L.P.
    • V•••••• N••••• I••••••••• M••••••••• I•• · General Partner
      indirect · owns F of V•••••• N••••• Investment Management, LP
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 171 to 178
      Apr 10, 2012 to Mar 28, 2013
    • Assets in custody · $240M to $239M
      Apr 10, 2012 to Mar 28, 2013
    • Employees · unset to 2.0
      Apr 10, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 0.0
      Apr 10, 2012 to Mar 28, 2013
    • Discretionary RAUM · $240M to $239M
      Apr 10, 2012 to Mar 28, 2013
    • RAUM · $240M to $239M
      Apr 10, 2012 to Mar 28, 2013
    • Accounts · 175 to 171
      Dec 20, 2011 to Mar 30, 2012
    • Assets in custody · $247M to $240M
      Dec 20, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 20, 2011 to Mar 30, 2012
    • Discretionary RAUM · $247M to $240M
      Dec 20, 2011 to Mar 30, 2012
    • RAUM · $247M to $240M
      Dec 20, 2011 to Mar 30, 2012
    • Related bank · false to true
      Dec 20, 2011 to Mar 30, 2012
    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