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

King Investment Advisors, Inc.

Former SEC-registered adviserHouston, TexasCRD 108198SEC 801-27224IAPD
Latest filing Apr 12, 2016
First filing on the tape Mar 12, 2012 · 24 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$311M as of Mar 9, 2015
Mar 12, 2012$410M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 12, 2016
Jan 28, 20138 then
Employees (5.A)1 as of Apr 12, 2016
Jan 28, 201321 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 1
Practice profile
derived from the filing of Apr 12, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-83%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Roger Earl KingChartered Financial AnalystHouston, TxJul 22, 198645 y1
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Earl Roger King · Presidentcontrol
      since 02/1981 · owns 75% or more
    • Jane Lightfoot · Secretary & Treasurercontrol
      since 02/2015 · owns less than 5%
    • Baggs Beverly Hornsby · Chief Compliance Officer
      since 02/2015 · owns less than 5%
    • R. John Servis · Director
      since 03/1993 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Oxbow Advisors
      investment advisery
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Feb 22, 2016 to Mar 31, 2016
    • Accounts · 345.0 to unset
      Dec 11, 2015 to Feb 22, 2016
    • Advisory employees · 4 to 0
      Dec 11, 2015 to Feb 22, 2016
    • Advisory activities · 5 to 1
      Dec 11, 2015 to Feb 22, 2016
    • Employees · 11 to 1
      Dec 11, 2015 to Feb 22, 2016
    • Insurance-licensed employees · 0 to 1
      Dec 11, 2015 to Feb 22, 2016
    • Financial planning clients · 1-10 to unset
      Dec 11, 2015 to Feb 22, 2016
    • State-registered IARs · 5 to 1
      Dec 11, 2015 to Feb 22, 2016
    • Discretionary RAUM · 299497615.0 to unset
      Dec 11, 2015 to Feb 22, 2016
    • Non-discretionary RAUM · 11379845.0 to unset
      Dec 11, 2015 to Feb 22, 2016
    • RAUM · 310877460.0 to unset
      Dec 11, 2015 to Feb 22, 2016
    • Advisory employees · 6 to 4
      Nov 12, 2015 to Dec 11, 2015
    • Employees · 14 to 11
      Nov 12, 2015 to Dec 11, 2015
    • State-registered IARs · 6 to 5
      Nov 12, 2015 to Dec 11, 2015
    • Accounts · 479 to 345
      Oct 16, 2014 to Mar 9, 2015
    • Employees · 16 to 14
      Oct 16, 2014 to Mar 9, 2015
    • State-registered IARs · 7 to 6
      Oct 16, 2014 to Mar 9, 2015
    • Discretionary RAUM · $320M to $299M
      Oct 16, 2014 to Mar 9, 2015
    • Non-discretionary RAUM · $10.2M to $11.4M
      Oct 16, 2014 to Mar 9, 2015
    • RAUM · $331M to $311M
      Oct 16, 2014 to Mar 9, 2015
    • Accounts · 329 to 479
      Nov 12, 2013 to Jan 31, 2014
    • Advisory employees · 7 to 6
      Nov 12, 2013 to Jan 31, 2014
    • Advisory activities · 7 to 5
      Nov 12, 2013 to Jan 31, 2014
    • Employees · 21 to 16
      Nov 12, 2013 to Jan 31, 2014
    • State-registered IARs · 8 to 7
      Nov 12, 2013 to Jan 31, 2014
    • Discretionary RAUM · $427M to $320M
      Nov 12, 2013 to Jan 31, 2014
    • Non-discretionary RAUM · $7.7M to $10.2M
      Nov 12, 2013 to Jan 31, 2014
    • RAUM · $435M to $331M
      Nov 12, 2013 to Jan 31, 2014
    • Accounts · 345 to 329
      Apr 5, 2012 to Jan 28, 2013
    • Advisory employees · unset to 7.0
      Apr 5, 2012 to Jan 28, 2013
    • Employees · unset to 21.0
      Apr 5, 2012 to Jan 28, 2013
    • State-registered IARs · unset to 8.0
      Apr 5, 2012 to Jan 28, 2013
    • Discretionary RAUM · $403M to $427M
      Apr 5, 2012 to Jan 28, 2013
    • Non-discretionary RAUM · $7.1M to $7.7M
      Apr 5, 2012 to Jan 28, 2013
    • RAUM · $410M to $435M
      Apr 5, 2012 to Jan 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