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
O•••••••• A•••••••• I•••
Latest filing Apr 4, 2017
First filing on the tape Jan 3, 2012 · 9 filings
RAUM
$300M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$300M as of Apr 4, 2017
Apr 12, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 4, 2017
Mar 28, 20130 then
Employees (5.A)1 as of Apr 4, 2017
Mar 28, 20133 then
Private funds: no history
RAUM -3.2% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 2017; 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
- $60.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.2%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 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
- 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
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
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• F••••• A••• M••••••• · President And Joint Owner And Chief Compliance Officercontrolsince 04/1995 · owns 50% to 75%
- F••••• J•••• J••••• · Joint Ownersince 04/1995 · owns 50% to 75%
Entity owners
- S•••••••• B••••••• C••••••••• · Joint Ownerdirect · owns 25% to 50%
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 · 6 to 5Mar 25, 2016 to Apr 4, 2017
- HQ city · AUSTIN to unsetMar 25, 2016 to Apr 4, 2017
- HQ state · TX to unsetMar 25, 2016 to Apr 4, 2017
- Discretionary RAUM · $310M to $0Mar 25, 2016 to Apr 4, 2017
- Non-discretionary RAUM · $0 to $300MMar 25, 2016 to Apr 4, 2017
- RAUM · $310M to $300MMar 25, 2016 to Apr 4, 2017
- Accounts · 7 to 6Apr 9, 2015 to Mar 25, 2016
- Discretionary RAUM · $0 to $310MApr 9, 2015 to Mar 25, 2016
- Non-discretionary RAUM · $721M to $0Apr 9, 2015 to Mar 25, 2016
- RAUM · $721M to $310MApr 9, 2015 to Mar 25, 2016
- Accounts · 9 to 7Mar 31, 2014 to Apr 9, 2015
- Employees · 2 to 1Mar 31, 2014 to Apr 9, 2015
- Non-discretionary RAUM · $949M to $721MMar 31, 2014 to Apr 9, 2015
- RAUM · $949M to $721MMar 31, 2014 to Apr 9, 2015
- Accounts · 10 to 9Mar 28, 2013 to Mar 31, 2014
- Employees · 3 to 2Mar 28, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $1.1B to $949MMar 28, 2013 to Mar 31, 2014
- RAUM · $1.1B to $949MMar 28, 2013 to Mar 31, 2014
- Advisory employees · unset to 1.0Apr 17, 2012 to Mar 28, 2013
- Employees · unset to 3.0Apr 17, 2012 to Mar 28, 2013
- Financial planning clients · unset to 0Apr 17, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Apr 17, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $1.0B to $1.1BApr 17, 2012 to Mar 28, 2013
- RAUM · $1.0B to $1.1BApr 17, 2012 to Mar 28, 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