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

B•••• F•••••••• I••

Former SEC-registered adviserDallas, TexasCRD 108256SEC 801-30781IAPD
Latest filing Dec 9, 2020
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$127M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
5.5%
$7.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$240M gross assets
History
17 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2020
Mar 28, 2012$118M then
HNW client RAUM$7.0M as of Mar 30, 2020
Mar 30, 2018$77.4M then
State-registered IARs (5.B.3)1 as of Mar 30, 2020
Mar 28, 20120 then
Employees (5.A)1 as of Mar 30, 2020
Mar 27, 20131 then
Private funds6 as of Mar 30, 2020
Mar 28, 20129 then
RAUM -32% over the last fiscal year-15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 9, 2020; every figure names its basis
RAUM per advisor
$127MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.0MderivedHNW RAUM over HNW clients
Average account
$18.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-32%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
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$120M94%
  • High-net-worth individuals$7.0M5.5%
Individual clients
n/areported
HNW clients
1reported
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
fixedreported
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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• S••••• E••••• C•••••• F••• 2• L••Private Equity Fund$111M2Mar 28, 2014
      F••••••• L••Private Equity Fund$84.0M247Mar 28, 2014
      F••••••• L••Private Equity Fund$26.9M93Mar 28, 2014
      F••• S••••• E••••• C•••••• F••• 1• L••Private Equity Fund$9.2M2Mar 28, 2014
      F••••••• L••Private Equity Fund$5.9M171Mar 28, 2012
      F••••••• L••Private Equity Fund$3.4M102Mar 28, 2012
      M••••• M•••• V••••••• I•• L••no longer reportedPrivate Equity Fund$2.0M79Mar 28, 2012
      G••• I••••••••• F••• ••••• L••no longer reportedPrivate Equity Fund$112,94027Mar 28, 2012
      G••• I••••••••• F••• ••••• L••no longer reportedPrivate Equity Fund$36,07429Mar 28, 2012
      F••• S••••• V•••••••• L••no longer reportedPrivate Equity Fund$1,0004Mar 28, 2012
      F• T•••• A••••••••• F••• 2• C••• L••no longer reportedPrivate Equity Fund$098Mar 28, 2012
      M••••• M•••• V•••••••• L••no longer reportedPrivate Equity Fund$070Mar 28, 2012
      F•••• 2• L••no longer reportedReal Estate Fund$02Mar 28, 2014
      F• T•••• A••••••••• F••• 2• C••• L••no longer reportedPrivate Equity Fund$090Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• N••• · President & Chief Executive Officercontrol
        since 01/1991 · owns 75% or more
      • S•••••• J•••• R••••• · Chief Compliance Officer
        since 06/2017 · owns less than 5%
      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 · 18 to 7
        Mar 27, 2019 to Mar 30, 2020
      • HNW clients · 12 to 1
        Mar 27, 2019 to Mar 30, 2020
      • HNW RAUM · $78.3M to $7.0M
        Mar 27, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $187M to $127M
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $109M to $120M
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $187M to $127M
        Mar 27, 2019 to Mar 30, 2020
      • Advisory activities · 2 to 1
        Mar 30, 2018 to Mar 27, 2019
      • Financial planning clients · 11-25 to 0
        Mar 30, 2018 to Mar 27, 2019
      • HNW RAUM · $77.4M to $78.3M
        Mar 30, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $198M to $187M
        Mar 30, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $120M to $109M
        Mar 30, 2018 to Mar 27, 2019
      • RAUM · $198M to $187M
        Mar 30, 2018 to Mar 27, 2019
      • Related broker-dealer · true to false
        Mar 30, 2018 to Mar 27, 2019
      • Accounts · 21 to 18
        Sep 29, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Sep 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 12.0
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 6.0
        Sep 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Private funds · 9 to 6
        Sep 29, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 77372661.0
        Sep 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $142M to $198M
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 120284898.0
        Sep 29, 2017 to Mar 30, 2018
      • RAUM · $142M to $198M
        Sep 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $209M to $142M
        Mar 31, 2017 to Sep 29, 2017
      • RAUM · $209M to $142M
        Mar 31, 2017 to Sep 29, 2017
      • Non-discretionary RAUM · $211M to $209M
        Oct 21, 2016 to Mar 31, 2017
      • RAUM · $211M to $209M
        Oct 21, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $296M to $211M
        Mar 30, 2016 to May 17, 2016
      • RAUM · $296M to $211M
        Mar 30, 2016 to May 17, 2016
      • Non-discretionary RAUM · $481M to $296M
        May 29, 2015 to Mar 30, 2016
      • RAUM · $481M to $296M
        May 29, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Mar 31, 2015 to May 29, 2015
      • State-registered IARs · 0 to 1
        Mar 31, 2015 to May 29, 2015
      • Non-discretionary RAUM · $481M to $481M
        Mar 31, 2015 to May 29, 2015
      • RAUM · $481M to $481M
        Mar 31, 2015 to May 29, 2015
      • Accounts · 20 to 21
        Sep 24, 2014 to Mar 31, 2015
      • BD registered reps · 0 to 1
        Sep 24, 2014 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        Sep 24, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $521M to $481M
        Sep 24, 2014 to Mar 31, 2015
      • RAUM · $521M to $481M
        Sep 24, 2014 to Mar 31, 2015
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      B•••• F•••••••• I•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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