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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I••••••••• A••••••••• L•••••

Former SEC-registered adviserAustin, TexasCRD 106954SEC 801-98337IAPD
Latest filing Mar 11, 2019
First filing on the tape Mar 12, 2012 · 9 filings
RAUM
$136M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
79%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$136M as of Mar 11, 2019
Mar 29, 2012$74.5M then
HNW client RAUM$78.6M as of Mar 11, 2019
Mar 24, 2018$83.7M then
State-registered IARs (5.B.3)2 as of Mar 11, 2019
Feb 9, 20162 then
Employees (5.A)2 as of Mar 11, 2019
Feb 9, 20162 then
Private funds: no history
RAUM +3.5% over the last fiscal year+4.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2019; every figure names its basis
RAUM per advisor
$68.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
78derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$376,906derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.6M58%
  • Individuals$29.2M21%
  • Corporations and businesses$28.6M21%
Individual clients
124reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
362reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
    • B••••• F••• · Vice Presidentcontrol
      since 09/1995 · owns 25% to 50%
    • S•••••••• L•••• · President & Chief Compliance Officercontrol
      since 09/1995 · owns 50% to 75%
    • B••••• H•••• C• · Member
      since 09/1995 · 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 · 385 to 362
      Mar 24, 2018 to Mar 11, 2019
    • Discretionary RAUM · $130M to $133M
      Mar 24, 2018 to Mar 11, 2019
    • HNW RAUM · $83.7M to $78.6M
      Mar 24, 2018 to Mar 11, 2019
    • Individual RAUM · $28.3M to $29.2M
      Mar 24, 2018 to Mar 11, 2019
    • Non-discretionary RAUM · $1.9M to $3.1M
      Mar 24, 2018 to Mar 11, 2019
    • RAUM · $132M to $136M
      Mar 24, 2018 to Mar 11, 2019
    • Accounts · 147 to 385
      Apr 24, 2017 to Mar 24, 2018
    • Corporate clients · unset to 11.0
      Apr 24, 2017 to Mar 24, 2018
    • HNW clients · unset to 32.0
      Apr 24, 2017 to Mar 24, 2018
    • Individual clients · unset to 124.0
      Apr 24, 2017 to Mar 24, 2018
    • Other offices · unset to 0.0
      Apr 24, 2017 to Mar 24, 2018
    • Discretionary RAUM · $121M to $130M
      Apr 24, 2017 to Mar 24, 2018
    • HNW RAUM · unset to 83660597.0
      Apr 24, 2017 to Mar 24, 2018
    • Individual RAUM · unset to 28268660.0
      Apr 24, 2017 to Mar 24, 2018
    • Non-discretionary RAUM · $2.4M to $1.9M
      Apr 24, 2017 to Mar 24, 2018
    • RAUM · $123M to $132M
      Apr 24, 2017 to Mar 24, 2018
    • Accounts · 136 to 147
      Feb 9, 2016 to Mar 10, 2017
    • Discretionary RAUM · $120M to $121M
      Feb 9, 2016 to Mar 10, 2017
    • Non-discretionary RAUM · $1.3M to $2.4M
      Feb 9, 2016 to Mar 10, 2017
    • RAUM · $121M to $123M
      Feb 9, 2016 to Mar 10, 2017
    • Accounts · 150 to 136
      May 21, 2015 to Feb 9, 2016
    • Financial planning clients · unset to 0
      May 21, 2015 to Feb 9, 2016
    • Discretionary RAUM · $122M to $120M
      May 21, 2015 to Feb 9, 2016
    • Non-discretionary RAUM · $1.4M to $1.3M
      May 21, 2015 to Feb 9, 2016
    • RAUM · $123M to $121M
      May 21, 2015 to Feb 9, 2016
    • Accounts · 145 to 150
      Jun 25, 2012 to May 21, 2015
    • Advisory employees · unset to 2.0
      Jun 25, 2012 to May 21, 2015
    • Business name · I•••••••• A•••••••• L•• to I••••••••• A••••••••• L•••••
      Jun 25, 2012 to May 21, 2015
    • Employees · unset to 2.0
      Jun 25, 2012 to May 21, 2015
    • State-registered IARs · unset to 2.0
      Jun 25, 2012 to May 21, 2015
    • Legal name · I•••••••• A•••••••• L•• to I••••••••• A••••••••• L•••••
      Jun 25, 2012 to May 21, 2015
    • Discretionary RAUM · $74.3M to $122M
      Jun 25, 2012 to May 21, 2015
    • Non-discretionary RAUM · $210,000 to $1.4M
      Jun 25, 2012 to May 21, 2015
    • RAUM · $74.5M to $123M
      Jun 25, 2012 to May 21, 2015
    Signals
    1 dated events
    • I••••••••• A••••••••• L••••• filed its initial SEC registration (Form ADV)
      May 21, 2015 · First SEC registration · fact
    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