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Former SEC-registered adviserFormer SEC adviser· Dallas, Texas

Former SEC-registered adviser, based in Dallas, Texas, reporting $238M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$238M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+9.2%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $237M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 15 Form ADV filings for this adviser, the latest 8.2 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 108129 · SEC 801-57623 · 15 filingsShow
CRD 108129SEC 801-57623First filing on the tape Mar 20, 2012, latest Aug 22, 2018IAPD
RAUM
$238M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$237M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$238M as of Feb 20, 2018
Mar 20, 2012$299M then
HNW client RAUM: $226M
State-registered IARs (5.B.3)1 as of Feb 20, 2018
Mar 20, 20120 then
Employees (5.A)3 as of Feb 20, 2018
Mar 21, 20133 then
Private funds: no history
RAUM +9.2% over the last fiscal year+4.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 22, 2018; every figure names its basis
RAUM per advisor
$238MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.8MderivedHNW RAUM over HNW clients
Average account
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.2%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 fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$226M95%
  • Individuals$10.7M4.5%
  • Pension and profit-sharing plans$1.0M0.4%
Individual clients
30reported
HNW clients
47reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
77reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• W••••••• R••••• · President/Chief Compliance Officercontrol
      since 03/2000 · owns 75% or more
    Related persons
    Schedule D 7.A
    • W•••••• R• A••••••••• A••••••• A• L••
      y
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 79 to 77
      Jun 28, 2017 to Feb 20, 2018
    • HNW clients · unset to 47.0
      Jun 28, 2017 to Feb 20, 2018
    • Individual clients · unset to 30.0
      Jun 28, 2017 to Feb 20, 2018
    • Pension plan clients · unset to 2.0
      Jun 28, 2017 to Feb 20, 2018
    • Other offices · unset to 0.0
      Jun 28, 2017 to Feb 20, 2018
    • HNW RAUM · unset to 225895954.0
      Jun 28, 2017 to Feb 20, 2018
    • Individual RAUM · unset to 10727330.0
      Jun 28, 2017 to Feb 20, 2018
    • Non-discretionary RAUM · $218M to $238M
      Jun 28, 2017 to Feb 20, 2018
    • Pension RAUM · unset to 1032358.0
      Jun 28, 2017 to Feb 20, 2018
    • RAUM · $218M to $238M
      Jun 28, 2017 to Feb 20, 2018
    • Accounts · 81 to 79
      Mar 3, 2016 to Feb 1, 2017
    • Non-discretionary RAUM · $203M to $218M
      Mar 3, 2016 to Feb 1, 2017
    • RAUM · $203M to $218M
      Mar 3, 2016 to Feb 1, 2017
    • Accounts · 82 to 81
      Jun 16, 2015 to Mar 3, 2016
    • Non-discretionary RAUM · $208M to $203M
      Jun 16, 2015 to Mar 3, 2016
    • RAUM · $208M to $203M
      Jun 16, 2015 to Mar 3, 2016
    • Accounts · 91 to 82
      Feb 20, 2014 to Mar 2, 2015
    • Non-discretionary RAUM · $366M to $208M
      Feb 20, 2014 to Mar 2, 2015
    • RAUM · $366M to $208M
      Feb 20, 2014 to Mar 2, 2015
    • Accounts · 89 to 91
      Jul 11, 2013 to Feb 20, 2014
    • Non-discretionary RAUM · $323M to $366M
      Jul 11, 2013 to Feb 20, 2014
    • RAUM · $323M to $366M
      Jul 11, 2013 to Feb 20, 2014
    • Related adviser · true to false
      Mar 21, 2013 to Jun 11, 2013
    • Related broker-dealer · true to false
      Mar 21, 2013 to Jun 11, 2013
    • BD registered reps · unset to 1.0
      Mar 20, 2012 to Mar 21, 2013
    • Employees · unset to 3.0
      Mar 20, 2012 to Mar 21, 2013
    • Advisory employees · unset to 1.0
      Mar 20, 2012 to Mar 21, 2013
    • State-registered IARs · 0 to 1
      Mar 20, 2012 to Mar 21, 2013
    • Non-discretionary RAUM · $299M to $323M
      Mar 20, 2012 to Mar 21, 2013
    • RAUM · $299M to $323M
      Mar 20, 2012 to Mar 21, 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