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•••••• A•••• M••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 108266SEC 801-57735IAPD
Latest filing Jan 28, 2013
First filing on the tape Feb 24, 2012 · 3 filings
RAUM
$182M
reported, Item 5.F
Discretionary
0.0%
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$182M as of Jan 28, 2013
Feb 24, 2012$179M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2013
Feb 24, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +1.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2013; 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
$60.5MderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
3reported
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
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
      • M•••• C•••••• A•••••• · Managing Directorcontrol
        since 06/2006 · owns less than 5%
      • C•••• C••••••• · Chief Compliance Officer
        since 08/2010 · owns less than 5%
      • S••• J•••• F•••••••• · Finance/Adminstrator
        since 07/2006 · owns less than 5%
      • V••••••••• A•••••••• · Director
        since 01/2006 · owns less than 5%
      Entity owners
      • A••• I••••••••• H•••••••• I••• · Sole Shareholder Of Aplicant
        direct · owns 75% or more
      • C••• D• B•••• B•••••• S••• D• C••• · Sole Shareholders Of A••• Intl. Holdings Inc.
        indirect · owns 75% or more of A••• Intl. Holdings Inc.
      • G•••• F••••••••• B•••••• S••• D• C••• · Sole Shareholder Of C••• De B•••• B••••••
        indirect · owns 75% or more of C••• De B•••• B•••••• Sa De Cv
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Mcallen, TX
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 6.0
        Oct 25, 2012 to Jan 28, 2013
      • BD registered reps · unset to 6.0
        Oct 25, 2012 to Jan 28, 2013
      • Employees · unset to 6.0
        Oct 25, 2012 to Jan 28, 2013
      • Non-discretionary RAUM · $179M to $182M
        Oct 25, 2012 to Jan 28, 2013
      • RAUM · $179M to $182M
        Oct 25, 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