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••••• I••••••••• A••••••• I••

Former SEC-registered adviserDallas, TexasCRD 106978SEC 801-33232IAPD
Latest filing Mar 27, 2020
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
14%
of RAUM
Private clients
5.2%
$56.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2020
Mar 29, 2012$539M then
HNW client RAUM$55.4M as of Mar 27, 2020
Mar 28, 2018$54.6M then
State-registered IARs (5.B.3)3 as of Mar 27, 2020
Mar 28, 20133 then
Employees (5.A)3 as of Mar 27, 2020
Mar 28, 20133 then
Private funds: no history
RAUM +41% over the last fiscal year+4.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2020; every figure names its basis
RAUM per advisor
$360MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$675,354derivedHNW RAUM over HNW clients
Average account
$10.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
14%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.4%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • Banks and thrifts$1.0B93%
  • High-net-worth individuals$55.4M5.1%
  • Charitable organizations$9.8M0.9%
  • State and municipal entities$8.1M0.8%
  • Pension and profit-sharing plans$1.1M0.1%
  • Individuals$1.1M0.1%
Individual clients
6reported
HNW clients
82reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
101reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $506,246 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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
    • C•••••• S••••• B•••••• · President/Chief Compliance Officercontrol
      since 12/1988 · owns 75% or more
    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 · 98 to 101
      Aug 13, 2019 to Mar 27, 2020
    • HNW clients · 81 to 82
      Aug 13, 2019 to Mar 27, 2020
    • Discretionary RAUM · $148M to $154M
      Aug 13, 2019 to Mar 27, 2020
    • HNW RAUM · $48.9M to $55.4M
      Aug 13, 2019 to Mar 27, 2020
    • Individual RAUM · $895,192 to $1.1M
      Aug 13, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $619M to $925M
      Aug 13, 2019 to Mar 27, 2020
    • Pension RAUM · $924,309 to $1.1M
      Aug 13, 2019 to Mar 27, 2020
    • RAUM · $767M to $1.1B
      Aug 13, 2019 to Mar 27, 2020
    • Wrap assets (manager) · $618,428 to $506,246
      Aug 13, 2019 to Mar 27, 2020
    • Accounts · 85 to 98
      Mar 29, 2019 to Aug 13, 2019
    • HNW clients · 80 to 81
      Mar 29, 2019 to Aug 13, 2019
    • Individual clients · 13 to 6
      Mar 29, 2019 to Aug 13, 2019
    • Discretionary RAUM · $148M to $148M
      Mar 29, 2019 to Aug 13, 2019
    • HNW RAUM · $665M to $48.9M
      Mar 29, 2019 to Aug 13, 2019
    • Individual RAUM · $2.5M to $895,192
      Mar 29, 2019 to Aug 13, 2019
    • Non-discretionary RAUM · $619M to $619M
      Mar 29, 2019 to Aug 13, 2019
    • RAUM · $767M to $767M
      Mar 29, 2019 to Aug 13, 2019
    • Accounts · 103 to 85
      Mar 28, 2018 to Mar 29, 2019
    • Advisory employees · 4 to 3
      Mar 28, 2018 to Mar 29, 2019
    • HNW clients · 81 to 80
      Mar 28, 2018 to Mar 29, 2019
    • Individual clients · 6 to 13
      Mar 28, 2018 to Mar 29, 2019
    • Employees · 4 to 3
      Mar 28, 2018 to Mar 29, 2019
    • Insurance-licensed employees · 4 to 2
      Mar 28, 2018 to Mar 29, 2019
    • State-registered IARs · 4 to 3
      Mar 28, 2018 to Mar 29, 2019
    • Discretionary RAUM · $912M to $148M
      Mar 28, 2018 to Mar 29, 2019
    • HNW RAUM · $54.6M to $665M
      Mar 28, 2018 to Mar 29, 2019
    • Individual RAUM · $1.0M to $2.5M
      Mar 28, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $580M to $619M
      Mar 28, 2018 to Mar 29, 2019
    • Pension RAUM · $1.7M to $924,309
      Mar 28, 2018 to Mar 29, 2019
    • RAUM · $1.5B to $767M
      Mar 28, 2018 to Mar 29, 2019
    • Accounts · 79 to 103
      Mar 29, 2017 to Mar 28, 2018
    • HNW clients · unset to 81.0
      Mar 29, 2017 to Mar 28, 2018
    • Individual clients · unset to 6.0
      Mar 29, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Mar 28, 2018
    • Discretionary RAUM · $522M to $912M
      Mar 29, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 54585492.0
      Mar 29, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 1004822.0
      Mar 29, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $420M to $580M
      Mar 29, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 1722027.0
      Mar 29, 2017 to Mar 28, 2018
    • RAUM · $941M to $1.5B
      Mar 29, 2017 to Mar 28, 2018
    Signals
    3 dated events
    • C••••• I••••••••• A••••••• I•• reported RAUM $1.1B, up 41% from $767.0M (2019-08-13 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • C••••• I••••••••• A••••••• I•• reported RAUM $767.0M, down 49% from $1.5B (2018-03-28 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • C••••• I••••••••• A••••••• I•• reported RAUM $1.5B, up 59% from $941.3M (2017-03-29 to 2018-03-28)
      Mar 28, 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