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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SEC-registered adviser
S•••••• L• E• • A••••••••• I••
Legal name S•• P•••••••• I•••
Latest filing Aug 28, 2026
First filing on the tape Mar 23, 2012 · 18 filings
SEC status approved since May 25, 1995
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.4B
derived; firm RAUM over IAPD count
Employees
23
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.4B as of Aug 28, 2026
Mar 23, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 28, 2026
Mar 23, 20120 then
Employees (5.A)23 as of Aug 28, 2026
Mar 25, 201318 then
Private funds8 as of Aug 28, 2026
Mar 23, 20124 then
RAUM +1.1% over the last fiscal year+8.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.4BderivedRAUM 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
- $340MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 23.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• F•••••• D••••• | Houston, Tx | Mar 1, 2007 | 33 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• L••• | Private Equity Fund | $1.2B | 75 | Mar 21, 2019 |
| S•••••••• L••• | Private Equity Fund | $430M | 78 | Mar 25, 2013 |
| S••••••• A••• L••• | Private Equity Fund | $243M | 78 | Mar 30, 2015 |
| S••••••• L••• | Private Equity Fund | $73.0M | 78 | Mar 23, 2012 |
| S•••••• L••• | Private Equity Fund | $53.3M | 35 | Mar 23, 2012 |
| S•••••• A••• L••• | Private Equity Fund | $39.9M | 78 | Mar 30, 2015 |
| S•••••• ••• L• | Private Equity Fund | $12.3M | 72 | Mar 29, 2017 |
| S••••• L•••no longer reported | Private Equity Fund | $2.2M | 21 | Mar 23, 2012 |
| S••••• O•••••••• L•••no longer reported | Private Equity Fund | $0 | 59 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• C••••• · Partnercontrolsince 04/2014 · owns 10% to 25%
- D•••••• A••••••• F•••••• · Partner, Chief Compliance Officercontrolsince 04/2014 · owns 10% to 25%
- S••••••• L•••••••• E•••••• · Partner And Foundercontrolsince 04/2014 · owns 50% to 75%
- W••••• A•••••• L••••• · Managing Partnercontrolsince 04/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••• G••• L•••••• P•••••••••pooled vehicle sponsorn
- S•••••• ••• G••• L•••••• P•••••••••pooled vehicle sponsorn
- S•••••• G•••• L•••••• P•••••••••pooled vehicle sponsorn
- S••••••• O•••••••• G••• L•••••• P•••••••••pooled vehicle sponsorn
- S•••••••• G••• L•••••• P•••••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 7 to 8Jun 17, 2026 to Aug 28, 2026
- Accounts · 6 to 7Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 6 to 7Mar 28, 2025 to Mar 27, 2026
- Private funds · 6 to 7Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.4B to $2.4BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.4B to $2.4BMar 28, 2025 to Mar 27, 2026
- RAUM · $2.4B to $2.4BMar 28, 2025 to Mar 27, 2026
- Accounts · 5 to 6Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 6Mar 28, 2024 to Mar 28, 2025
- Employees · 22 to 23Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Private funds · 5 to 6Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.0B to $2.4BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.0B to $2.4BMar 28, 2024 to Mar 28, 2025
- RAUM · $2.0B to $2.4BMar 28, 2024 to Mar 28, 2025
- Accounts · 7 to 5Mar 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 7 to 5Mar 29, 2023 to Mar 28, 2024
- Employees · 20 to 22Mar 29, 2023 to Mar 28, 2024
- Private funds · 7 to 5Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 28, 2024
- Accounts · 8 to 7Mar 28, 2022 to Mar 29, 2023
- Advisory employees · 12 to 14Mar 28, 2022 to Mar 29, 2023
- Pooled vehicle clients · 8 to 7Mar 28, 2022 to Mar 29, 2023
- Private funds · 8 to 7Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.5B to $1.9BMar 28, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.5B to $1.9BMar 28, 2022 to Mar 29, 2023
- RAUM · $1.5B to $1.9BMar 28, 2022 to Mar 29, 2023
- Advisory employees · 14 to 12Mar 29, 2021 to Mar 28, 2022
- Employees · 22 to 20Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.3B to $1.5BMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.3B to $1.5BMar 29, 2021 to Mar 28, 2022
- RAUM · $1.3B to $1.5BMar 29, 2021 to Mar 28, 2022
- Assets in custody · 956527700.0 to unsetMar 19, 2020 to Mar 29, 2021
- Custody of client assets · true to falseMar 19, 2020 to Mar 29, 2021
- Discretionary RAUM · $957M to $1.3BMar 19, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $957M to $1.3BMar 19, 2020 to Mar 29, 2021
- RAUM · $957M to $1.3BMar 19, 2020 to Mar 29, 2021
- Advisory employees · 15 to 14Mar 21, 2019 to Mar 19, 2020
Signals
1 dated events
- S•••••• L• E• • A••••••••• I•• reported RAUM $1.3B, up 39% from $956.5M (2020-03-19 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••• L• E• • A••••••••• I•• · Independent Sponsorsshared crd · capital_provider
- S•••••• L• E• • A••••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-227-7888reportedpublic record, Form ADV, Aug 28, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026