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.

Former SEC-registered adviser

Shamrock Asset Management LLC

Former SEC-registered adviserDallas, TexasCRD 108125SEC 801-54702IAPD
Latest filing Aug 21, 2019
First filing on the tape Jan 10, 2012 · 31 filings
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$177M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$177M as of Mar 29, 2019
Jan 10, 2012$255M then
HNW client RAUM$124M as of Mar 29, 2019
Mar 30, 2018$65.3M then
State-registered IARs (5.B.3)4 as of Mar 29, 2019
Mar 28, 20137 then
Employees (5.A)5 as of Mar 29, 2019
Mar 28, 201310 then
Private funds: no history
RAUM -18% over the last fiscal year-14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 21, 2019; every figure names its basis
RAUM per advisor
$44.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$429,627derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$124M70%
  • Individuals$53.2M30%
Individual clients
108reported
HNW clients
109reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
413reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lee Kevin Caldwell · Managing Director, Ceo & Chief Investment Officercontrol
    since 10/2009 · owns 10% to 25%
  • Carroll Thomas Goyne · Managing Director Member Of Board Of Managerscontrol
    since 04/1997 · owns 25% to 50%
  • William James Lewis · Ownercontrol
    since 04/1997 · owns 10% to 25%
  • William James Lewis · Ownercontrol
    since 04/1997 · owns 75% or more of Geometry Group, Inc.
  • Anthony Cord Adams · Managing Director & Chief Marketing Officer
    since 08/2012 · owns less than 5%
  • Michael Kyle Koch · Chief Compliance Officer
    since 08/2019 · owns less than 5%
Entity owners
  • Geometry Group, Inc. · Owner
    direct · 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 · 475 to 413
    Dec 20, 2018 to Mar 29, 2019
  • HNW clients · 131 to 109
    Dec 20, 2018 to Mar 29, 2019
  • Individual clients · 131 to 108
    Dec 20, 2018 to Mar 29, 2019
  • Discretionary RAUM · $218M to $177M
    Dec 20, 2018 to Mar 29, 2019
  • HNW RAUM · $65.3M to $124M
    Dec 20, 2018 to Mar 29, 2019
  • Individual RAUM · $152M to $53.2M
    Dec 20, 2018 to Mar 29, 2019
  • RAUM · $218M to $177M
    Dec 20, 2018 to Mar 29, 2019
  • Accounts · 533 to 475
    Mar 29, 2017 to Mar 30, 2018
  • Advisory employees · 6 to 4
    Mar 29, 2017 to Mar 30, 2018
  • Charity clients · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • Corporate clients · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • HNW clients · unset to 131.0
    Mar 29, 2017 to Mar 30, 2018
  • Individual clients · unset to 131.0
    Mar 29, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • Assets in custody · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • Employees · 7 to 5
    Mar 29, 2017 to Mar 30, 2018
  • State-registered IARs · 6 to 4
    Mar 29, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • Discretionary RAUM · $227M to $218M
    Mar 29, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 65265985.0
    Mar 29, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 152287297.0
    Mar 29, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $1.8M to $0
    Mar 29, 2017 to Mar 30, 2018
  • RAUM · $229M to $218M
    Mar 29, 2017 to Mar 30, 2018
  • Accounts · 635 to 533
    Nov 14, 2016 to Mar 29, 2017
  • Advisory employees · 7 to 6
    Nov 14, 2016 to Mar 29, 2017
  • Employees · 8 to 7
    Nov 14, 2016 to Mar 29, 2017
  • State-registered IARs · 7 to 6
    Nov 14, 2016 to Mar 29, 2017
  • Discretionary RAUM · $278M to $227M
    Nov 14, 2016 to Mar 29, 2017
  • Non-discretionary RAUM · $1.5M to $1.8M
    Nov 14, 2016 to Mar 29, 2017
  • RAUM · $279M to $229M
    Nov 14, 2016 to Mar 29, 2017
  • Accounts · 670 to 635
    Mar 8, 2016 to Mar 30, 2016
  • Advisory employees · 8 to 7
    Mar 8, 2016 to Mar 30, 2016
  • Advisory activities · 2 to 3
    Mar 8, 2016 to Mar 30, 2016
  • Employees · 10 to 8
    Mar 8, 2016 to Mar 30, 2016
  • State-registered IARs · 8 to 7
    Mar 8, 2016 to Mar 30, 2016
  • Discretionary RAUM · $310M to $278M
    Mar 8, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · $2.0M to $1.5M
    Mar 8, 2016 to Mar 30, 2016
  • RAUM · $312M to $279M
    Mar 8, 2016 to Mar 30, 2016
  • Accounts · 785 to 670
    Apr 15, 2014 to Mar 31, 2015
Signals
1 dated events
  • Merlin Edward Fjordbak (Chief Compliance Officer) no longer on Schedule A of Shamrock Asset Management Llc (listed 2019-03-29, absent 2019-08-09)
    Aug 9, 2019 · Control person left · inference
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