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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I••••••••• C•••••• M••••••••• C•••

Former SEC-registered adviserDallas, TexasCRD 108466SEC 801-56416IAPD
Latest filing Jun 5, 2012
First filing on the tape Feb 16, 2012 · 7 filings
RAUM
$72.2M
reported, Item 5.F
Discretionary
63%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$26.3M gross assets
History
7 filings and snapshots on the tape
RAUM$72.2M as of Jun 5, 2012
Feb 16, 2012$72.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds9 as of Jun 5, 2012
Feb 16, 20129 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 5, 2012; 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
$311,226derivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$26.9M, 9 clientsreportedItem 9.A
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
232reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$26.9M for 9 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Every departureEvery arrival
Private funds
9 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
I••• S•••••••• A•••• F•••• L••Hedge Fund$11.0M62Feb 16, 2012
I••• N•••••• R•••••••• F•••• L•••Other Private Fund$3.2M52Feb 16, 2012
I••• H••••••• S••••••••• F•••• L•••Other Private Fund$3.0M50Feb 16, 2012
I••• G••••• R••• E••••• F•••• L•••Real Estate Fund$2.3M56Feb 16, 2012
I••• P•••••• V••••••• F•••• L•••Venture Capital Fund$2.3M41Feb 16, 2012
I••• T••••••• R••••• F•••• L••Hedge Fund$1.7M35Feb 16, 2012
I••• R••••• P••••••• • L•Real Estate Fund$1.3M37Feb 16, 2012
I••• V•••••• C•••••• P•••••••• L••Venture Capital Fund$976,89820Feb 16, 2012
I••• R••• E••••• A••••••••• P•••••••• L•Real Estate Fund$492,65220Feb 16, 2012
Owners and control persons
Schedule A and B, latest filing
  • A••••• M•••• J••• · Vp/Treasurer, Chief Compliance Officer, Chief Operating Officercontrol
    since 07/1993 · owns 5% to 10%
  • H••••••••• R•••• · President,Ceo, Ciocontrol
    since 09/1974 · owns 75% or more
  • G••••••• W•••••• A•••••••• · Shareholder
    since 09/1974 · owns 5% to 10%
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
  • Advisory activities · 3 to 4
    Mar 28, 2012 to Apr 30, 2012
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

I••••••••• C•••••• M••••••••• C••• 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.

Checking your plan…