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

R•• C•••••• A••••••• L••

Former SEC-registered adviserPlano, TexasCRD 107894SEC 801-51498IAPD
Latest filing Mar 16, 2017
First filing on the tape Mar 21, 2012 · 9 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
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
2
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$111M as of Mar 16, 2017
Mar 21, 2012$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 16, 2017
Mar 21, 20120 then
Employees (5.A)2 as of Mar 16, 2017
Mar 19, 20132 then
Private funds: no history
RAUM +8.3% over the last fiscal year-0.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2017; every figure names its basis
RAUM per advisor
$111MderivedRAUM 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
$773,334derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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 securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
143reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
none on the tape
    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
      • S•••••••• G•••• J• · Managing Director & Ccocontrol
        since 01/1996 · owns 75% or more
      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 · 149 to 143
        Mar 31, 2016 to Mar 16, 2017
      • Assets in custody · $361,796 to $348,333
        Mar 31, 2016 to Mar 16, 2017
      • Discretionary RAUM · $102M to $111M
        Mar 31, 2016 to Mar 16, 2017
      • Non-discretionary RAUM · $121,585 to $44,171
        Mar 31, 2016 to Mar 16, 2017
      • RAUM · $102M to $111M
        Mar 31, 2016 to Mar 16, 2017
      • Accounts · 159 to 149
        Mar 13, 2015 to Mar 2, 2016
      • Assets in custody · $583,748 to $361,796
        Mar 13, 2015 to Mar 2, 2016
      • Discretionary RAUM · $117M to $102M
        Mar 13, 2015 to Mar 2, 2016
      • Non-discretionary RAUM · $200,032 to $121,585
        Mar 13, 2015 to Mar 2, 2016
      • RAUM · $117M to $102M
        Mar 13, 2015 to Mar 2, 2016
      • Accounts · 161 to 159
        Mar 6, 2014 to Mar 13, 2015
      • Assets in custody · $607,423 to $583,748
        Mar 6, 2014 to Mar 13, 2015
      • Discretionary RAUM · $112M to $117M
        Mar 6, 2014 to Mar 13, 2015
      • Non-discretionary RAUM · $151,002 to $200,032
        Mar 6, 2014 to Mar 13, 2015
      • RAUM · $113M to $117M
        Mar 6, 2014 to Mar 13, 2015
      • Accounts · 163 to 161
        Mar 19, 2013 to Feb 25, 2014
      • Assets in custody · $557,929 to $607,423
        Mar 19, 2013 to Feb 25, 2014
      • Discretionary RAUM · $112M to $112M
        Mar 19, 2013 to Feb 25, 2014
      • Non-discretionary RAUM · $131,585 to $151,002
        Mar 19, 2013 to Feb 25, 2014
      • RAUM · $113M to $113M
        Mar 19, 2013 to Feb 25, 2014
      • Accounts · 160 to 163
        Jul 19, 2012 to Mar 19, 2013
      • Advisory employees · unset to 1.0
        Jul 19, 2012 to Mar 19, 2013
      • Assets in custody · $515,636 to $557,929
        Jul 19, 2012 to Mar 19, 2013
      • Employees · unset to 2.0
        Jul 19, 2012 to Mar 19, 2013
      • State-registered IARs · 0 to 1
        Jul 19, 2012 to Mar 19, 2013
      • Discretionary RAUM · $104M to $112M
        Jul 19, 2012 to Mar 19, 2013
      • Non-discretionary RAUM · $68,465 to $131,585
        Jul 19, 2012 to Mar 19, 2013
      • RAUM · $105M to $113M
        Jul 19, 2012 to Mar 19, 2013
      • Accounts · 170 to 160
        Mar 21, 2012 to Jul 19, 2012
      • Assets in custody · $508,001 to $515,636
        Mar 21, 2012 to Jul 19, 2012
      • HQ city · DALLAS to PLANO
        Mar 21, 2012 to Jul 19, 2012
      • Discretionary RAUM · $106M to $104M
        Mar 21, 2012 to Jul 19, 2012
      • Non-discretionary RAUM · $170,321 to $68,465
        Mar 21, 2012 to Jul 19, 2012
      • RAUM · $106M to $105M
        Mar 21, 2012 to Jul 19, 2012
      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