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.

Former SEC-registered adviser

Mitchell Group Inc

Former SEC-registered adviserHouston, TexasCRD 106917SEC 801-34644IAPD
Legal name The Mitchell Group, Inc.
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$54.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.3M gross assets
History
9 filings and snapshots on the tape
RAUM$168M as of Mar 29, 2019
Mar 30, 2012$659M then
HNW client RAUM$54.3M as of Mar 29, 2019
Mar 29, 2018$52.8M then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)5 as of Mar 29, 2019
Mar 28, 20137 then
Private funds1 as of Mar 29, 2019
Apr 3, 20171 then
RAUM -72% over the last fiscal year-40% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$168MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-72%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 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 institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$5.3M, 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)
  • 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
  • High-net-worth individuals$54.3M44%
  • Charitable organizations$38.8M31%
  • Pension and profit-sharing plans$17.5M14%
  • Corporations and businesses$6.2M5.0%
  • Pooled investment vehicles$5.3M4.3%
  • Insurance companies$1.5M1.2%
Individual clients
n/areported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
50reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$5.3M for 1 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
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Tmg Investment Fund, L.P.Other Private Fund$5.3M6Apr 3, 2017
    Owners and control persons
    Schedule A and B, latest filing
    • Henry Ernest Groppe · Directorcontrol
      since 07/2003 · owns 10% to 25%
    • Mabry Douglas Hohertz · Chief Investment Officer/Directorcontrol
      since 12/2010 · owns 10% to 25%
    • Wallace Terry Jolly · Vice President/Directorcontrol
      since 04/1990 · owns 5% to 10%
    • Walker Bradley Mitchell · President/Chief Compliance Officer/Directorcontrol
      since 09/2013 · owns 50% to 75%
    • Walker Bradley Mitchell · Trusteecontrol
      since 12/2013 · owns 50% to 75% of Leslie Clay Mitchell Trust
    • Ann Deborah Stephens · Corporate Secretary/Vice President
      since 11/2006 · owns less than 5%
    Entity owners
    • Angus Parker Mitchell Trust · Shareholder
      direct · owns 10% to 25%
    • Bradley Walker Mitchell Trust · Shareholder
      direct · owns 10% to 25%
    • Calum Wesley Mitchell Trust · Shareholder
      direct · owns 10% to 25%
    • Dana Larkin Mitchell Trust · Shareholder
      direct · owns 10% to 25%
    • Leslie Clay Mitchell Trust · Shareholder
      direct · owns 10% to 25%
    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 · 88 to 50
      Mar 29, 2018 to Mar 29, 2019
    • Advisory employees · 4 to 1
      Mar 29, 2018 to Mar 29, 2019
    • Charity clients · 18 to 7
      Mar 29, 2018 to Mar 29, 2019
    • Corporate clients · 21.0 to unset
      Mar 29, 2018 to Mar 29, 2019
    • Assets in custody · $37.9M to $5.3M
      Mar 29, 2018 to Mar 29, 2019
    • Employees · 9 to 5
      Mar 29, 2018 to Mar 29, 2019
    • State-registered IARs · 2 to 1
      Mar 29, 2018 to Mar 29, 2019
    • Discretionary RAUM · $610M to $168M
      Mar 29, 2018 to Mar 29, 2019
    • HNW RAUM · $52.8M to $54.3M
      Mar 29, 2018 to Mar 29, 2019
    • Pension RAUM · $93.8M to $17.5M
      Mar 29, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $37.9M to $5.3M
      Mar 29, 2018 to Mar 29, 2019
    • RAUM · $610M to $168M
      Mar 29, 2018 to Mar 29, 2019
    • Accounts · 108 to 88
      Apr 3, 2017 to Mar 29, 2018
    • Charity clients · unset to 18.0
      Apr 3, 2017 to Mar 29, 2018
    • Corporate clients · unset to 21.0
      Apr 3, 2017 to Mar 29, 2018
    • HNW clients · unset to 35.0
      Apr 3, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 1.0
      Apr 3, 2017 to Mar 29, 2018
    • Assets in custody · $36.9M to $37.9M
      Apr 3, 2017 to Mar 29, 2018
    • Employees · 8 to 9
      Apr 3, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Apr 3, 2017 to Mar 29, 2018
    • Discretionary RAUM · $1.0B to $610M
      Apr 3, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 52848722.0
      Apr 3, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 0.0
      Apr 3, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 93773532.0
      Apr 3, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 37926839.0
      Apr 3, 2017 to Mar 29, 2018
    • RAUM · $1.0B to $610M
      Apr 3, 2017 to Mar 29, 2018
    • Accounts · 109 to 108
      Nov 3, 2016 to Apr 3, 2017
    • Assets in custody · unset to 36878640.0
      Nov 3, 2016 to Apr 3, 2017
    • Custody of client assets · false to true
      Nov 3, 2016 to Apr 3, 2017
    • Private funds · unset to 1
      Nov 3, 2016 to Apr 3, 2017
    • Discretionary RAUM · $777M to $1.0B
      Nov 3, 2016 to Apr 3, 2017
    • RAUM · $777M to $1.0B
      Nov 3, 2016 to Apr 3, 2017
    • Accounts · 108 to 109
      Mar 31, 2015 to Mar 30, 2016
    • Advisory activities · 3 to 4
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $900M to $777M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $900M to $777M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 106 to 108
      Mar 31, 2014 to Mar 31, 2015
    • Advisory employees · 3 to 4
      Mar 31, 2014 to Mar 31, 2015
    • Discretionary RAUM · $1.0B to $900M
      Mar 31, 2014 to Mar 31, 2015
    • RAUM · $1.0B to $900M
      Mar 31, 2014 to Mar 31, 2015
    Signals
    2 dated events
    • Mitchell Group Inc reported RAUM $168.2M, down 72% from $610.2M (2018-03-29 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • Mitchell Group Inc reported RAUM $610.2M, down 40% from $1.0B (2017-04-03 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    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