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

C••••••••• A••••••• I••

Former SEC-registered adviserBaton Rouge, LouisianaCRD 106401SEC 801-39749IAPD
Latest filing Jan 14, 2014
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$55.3M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$44.4M gross assets
History
6 filings and snapshots on the tape
RAUM$55.3M as of Jan 14, 2014
Mar 26, 2012$221M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 14, 2014
Apr 30, 20130 then
Employees (5.A)3 as of Jan 14, 2014
Apr 30, 20133 then
Private funds2 as of Jan 14, 2014
Mar 26, 20128 then
RAUM -50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 14, 2014; 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
$5.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-50%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 assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$18.1M, 1 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
11reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$18.1M for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
9 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C• C••• F•••• I••••• F••• L••no longer reportedHedge Fund$35.9M83Mar 26, 2012
C••••••• C•• I• L•••Other Private Fund$29.1M9Apr 30, 2013
C• R••••••• M••••• F•••• L••Hedge Fund$15.4M17Mar 26, 2012
C• H••• Y•••• O••••••• F••• L••no longer reportedHedge Fund$10.7M99Mar 26, 2012
S••• S••••• C•••••• I•• M••••• L••no longer reportedHedge Fund$6.9M45Mar 26, 2012
C• C••• F•••• I••••• O••••••• F••• L••no longer reportedHedge Fund$6.8M94Mar 26, 2012
C• H••• Y•••• F••• L••no longer reportedHedge Fund$5.6M72Mar 26, 2012
C• S•••••••• E••••• O••••••• F•••• L••no longer reportedHedge Fund$2.2M38Mar 26, 2012
C• S•••••••• E••••• F••• L••no longer reportedHedge Fund$2.0M41Mar 26, 2012
Owners and control persons
Schedule A and B, latest filing
  • M••••••• W•••••• A••••• · President, Chief Investment Officer, Chief Compliance Officercontrol
    since 04/1991 · owns 75% or more
Related persons
Schedule D 7.A
  • S••• S••••• M••••••••• L••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
  • Baton Rouge, LA
What changed
consecutive filings, newest first
  • Accounts · 294 to 11
    Apr 30, 2013 to Jan 14, 2014
  • Assets in custody · $15.4M to $18.1M
    Apr 30, 2013 to Jan 14, 2014
  • Discretionary RAUM · $110M to $55.3M
    Apr 30, 2013 to Jan 14, 2014
  • RAUM · $110M to $55.3M
    Apr 30, 2013 to Jan 14, 2014
  • Accounts · 502 to 294
    Dec 11, 2012 to Apr 30, 2013
  • Advisory employees · 5 to 2
    Dec 11, 2012 to Apr 30, 2013
  • Assets in custody · $15.7M to $15.4M
    Dec 11, 2012 to Apr 30, 2013
  • Employees · 9 to 3
    Dec 11, 2012 to Apr 30, 2013
  • Private funds · 1 to 2
    Dec 11, 2012 to Apr 30, 2013
  • Discretionary RAUM · $202M to $110M
    Dec 11, 2012 to Apr 30, 2013
  • RAUM · $202M to $110M
    Dec 11, 2012 to Apr 30, 2013
  • Advisory employees · unset to 5.0
    Oct 5, 2012 to Dec 11, 2012
  • Employees · unset to 9.0
    Oct 5, 2012 to Dec 11, 2012
  • State-registered IARs · unset to 0.0
    Oct 5, 2012 to Dec 11, 2012
  • Accounts · 553 to 502
    Mar 26, 2012 to Jul 26, 2012
  • Assets in custody · $102M to $15.7M
    Mar 26, 2012 to Jul 26, 2012
  • Private funds · 8 to 1
    Mar 26, 2012 to Jul 26, 2012
  • Discretionary RAUM · $221M to $202M
    Mar 26, 2012 to Jul 26, 2012
  • RAUM · $221M to $202M
    Mar 26, 2012 to Jul 26, 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