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Former SEC-registered adviser

F•• I•••••••••

Former SEC-registered adviserDallas, TexasCRD 107025SEC 801-29238IAPD
Legal name F•• I••••••••• L•••
Latest filing Mar 19, 2018
First filing on the tape Mar 14, 2012 · 11 filings
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$178M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$63.5M gross assets
History
11 filings and snapshots on the tape
RAUM$186M as of Mar 19, 2018
Mar 14, 2012$386M then
HNW client RAUM: $178M
State-registered IARs (5.B.3)1 as of Mar 19, 2018
Mar 14, 20120 then
Employees (5.A)4 as of Mar 19, 2018
Feb 7, 201310 then
Private funds2 as of Mar 19, 2018
Mar 14, 20123 then
RAUM -27% over the last fiscal year-18% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Mar 19, 2018; every figure names its basis
RAUM per advisor
$186MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.8MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-27%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$186M, 35 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$178M96%
  • Charitable organizations$4.7M2.5%
  • Pension and profit-sharing plans$2.6M1.4%
  • Pooled investment vehicles$50,9790.0%
Individual clients
n/areported
HNW clients
31reported
Pension plan clients
1reported
Charitable clients
2reported
Accounts
35reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$186M for 35 clientsreported
Compensation
% of AUM, 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
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    F•• F•• E•••••• F•••• L•••Other Private Fund$54.6M29Mar 14, 2012
    F•• F••••••• G••••• F•••• L•••Other Private Fund$8.9M27Mar 14, 2012
    F•• I••••• F•••• L•••no longer reportedOther Private Fund$2.8M12Mar 14, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • J••••• T••• M••••••••• · Chief Compliance Officercontrol
      since 03/2013 · owns 75% or more
    • H•••••• L•••• J•••• · Limited Partner
      since 05/2015 · owns 5% to 10%
    • J••••• G••••••• S•••••• · Limited Partner
      since 09/2017 · owns 5% to 10%
    Entity owners
    • F•• I••••••••• G•• L•• · General Partner
      direct · owns less than 5%
    • J••••• T•••• F•••• D•••••• M••••••••• · Limited Partner
      direct · owns 5% to 10%
    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 · 45 to 35
      Aug 9, 2017 to Mar 19, 2018
    • Advisory employees · 4 to 1
      Aug 9, 2017 to Mar 19, 2018
    • Charity clients · unset to 2.0
      Aug 9, 2017 to Mar 19, 2018
    • HNW clients · unset to 31.0
      Aug 9, 2017 to Mar 19, 2018
    • Pension plan clients · unset to 1.0
      Aug 9, 2017 to Mar 19, 2018
    • Pooled vehicle clients · unset to 1.0
      Aug 9, 2017 to Mar 19, 2018
    • Assets in custody · $253M to $186M
      Aug 9, 2017 to Mar 19, 2018
    • Employees · 8 to 4
      Aug 9, 2017 to Mar 19, 2018
    • State-registered IARs · 3 to 1
      Aug 9, 2017 to Mar 19, 2018
    • Other offices · unset to 0.0
      Aug 9, 2017 to Mar 19, 2018
    • Discretionary RAUM · $253M to $186M
      Aug 9, 2017 to Mar 19, 2018
    • HNW RAUM · unset to 178448126.0
      Aug 9, 2017 to Mar 19, 2018
    • Pension RAUM · unset to 2565863.0
      Aug 9, 2017 to Mar 19, 2018
    • Pooled vehicle RAUM · unset to 50979.0
      Aug 9, 2017 to Mar 19, 2018
    • RAUM · $253M to $186M
      Aug 9, 2017 to Mar 19, 2018
    • Accounts · 48 to 45
      Mar 7, 2016 to Mar 21, 2017
    • Advisory employees · 5 to 4
      Mar 7, 2016 to Mar 21, 2017
    • Assets in custody · $290M to $253M
      Mar 7, 2016 to Mar 21, 2017
    • Employees · 9 to 8
      Mar 7, 2016 to Mar 21, 2017
    • State-registered IARs · 4 to 3
      Mar 7, 2016 to Mar 21, 2017
    • Private funds · 3 to 2
      Mar 7, 2016 to Mar 21, 2017
    • Discretionary RAUM · $290M to $253M
      Mar 7, 2016 to Mar 21, 2017
    • RAUM · $290M to $253M
      Mar 7, 2016 to Mar 21, 2017
    • Accounts · 54 to 48
      Mar 17, 2015 to Mar 7, 2016
    • Assets in custody · $332M to $290M
      Mar 17, 2015 to Mar 7, 2016
    • Discretionary RAUM · $332M to $290M
      Mar 17, 2015 to Mar 7, 2016
    • RAUM · $332M to $290M
      Mar 17, 2015 to Mar 7, 2016
    • Accounts · 58 to 54
      Mar 7, 2014 to Mar 17, 2015
    • Assets in custody · $373M to $332M
      Mar 7, 2014 to Mar 17, 2015
    • Employees · 10 to 9
      Mar 7, 2014 to Mar 17, 2015
    • Discretionary RAUM · $373M to $332M
      Mar 7, 2014 to Mar 17, 2015
    • RAUM · $373M to $332M
      Mar 7, 2014 to Mar 17, 2015
    • Accounts · 56 to 58
      Oct 4, 2013 to Mar 7, 2014
    • Assets in custody · $374M to $373M
      Oct 4, 2013 to Mar 7, 2014
    • Discretionary RAUM · $374M to $373M
      Oct 4, 2013 to Mar 7, 2014
    • RAUM · $374M to $373M
      Oct 4, 2013 to Mar 7, 2014
    • Advisory employees · unset to 5.0
      Oct 4, 2012 to Feb 7, 2013
    • Assets in custody · $386M to $374M
      Oct 4, 2012 to Feb 7, 2013
    • Employees · unset to 10.0
      Oct 4, 2012 to Feb 7, 2013
    • State-registered IARs · 0 to 4
      Oct 4, 2012 to Feb 7, 2013
    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