DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

R••••••••• A•••• A•••••••

Former SEC-registered adviserArlington, TexasCRD 109161SEC 801-55311IAPD
Legal name R••••••••• A•••• A••••••• I••
Latest filing Mar 26, 2019
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$174M
reported, Item 5.F
Discretionary
7.0%
of RAUM
Private clients
7.5%
$13.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$174M as of Mar 26, 2019
Mar 28, 2012$226M then
HNW client RAUM$9.4M as of Mar 26, 2019
Mar 28, 2018$12.4M then
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20120 then
Employees (5.A)2 as of Mar 26, 2019
Mar 21, 20132 then
Private funds: no history
RAUM -49% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; 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
$1.3MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.0%derivedof RAUM
Institutional
92%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
-49%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pension and profit-sharing plans$161M92%
  • High-net-worth individuals$9.4M5.4%
  • Individuals$3.6M2.1%
Individual clients
17reported
HNW clients
7reported
Pension plan clients
59reported
Charitable clients
0reported
Accounts
88reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • C•••• J•••• D•••• · Vice-Presidentcontrol
        since 12/1995 · owns 50% to 75%
      • W•••••• W••••••• D•••• · President/Chief Compliance Officercontrol
        since 12/1995 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • W•••••• D• W••••• I•••••••• B•••••• S••• P•••••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 96 to 88
        Mar 28, 2018 to Mar 26, 2019
      • HNW clients · 9 to 7
        Mar 28, 2018 to Mar 26, 2019
      • Individual clients · 18 to 17
        Mar 28, 2018 to Mar 26, 2019
      • Pension plan clients · 60 to 59
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $12.5M to $12.2M
        Mar 28, 2018 to Mar 26, 2019
      • HNW RAUM · $12.4M to $9.4M
        Mar 28, 2018 to Mar 26, 2019
      • Individual RAUM · $4.5M to $3.6M
        Mar 28, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $325M to $161M
        Mar 28, 2018 to Mar 26, 2019
      • Pension RAUM · $320M to $161M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $337M to $174M
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 103 to 96
        Mar 15, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • HNW clients · unset to 9.0
        Mar 15, 2017 to Mar 28, 2018
      • Individual clients · unset to 18.0
        Mar 15, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 60.0
        Mar 15, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • Discretionary RAUM · $12.4M to $12.5M
        Mar 15, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 12431902.0
        Mar 15, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 4517236.0
        Mar 15, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $291M to $325M
        Mar 15, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 320228522.0
        Mar 15, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • RAUM · $303M to $337M
        Mar 15, 2017 to Mar 28, 2018
      • Accounts · 101 to 103
        Mar 30, 2016 to Mar 15, 2017
      • Discretionary RAUM · $11.1M to $12.4M
        Mar 30, 2016 to Mar 15, 2017
      • Non-discretionary RAUM · $279M to $291M
        Mar 30, 2016 to Mar 15, 2017
      • RAUM · $290M to $303M
        Mar 30, 2016 to Mar 15, 2017
      • Accounts · 98 to 101
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $6.6M to $11.1M
        Mar 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $274M to $279M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $281M to $290M
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 97 to 98
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $7.0M to $6.6M
        Mar 28, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $242M to $274M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $249M to $281M
        Mar 28, 2014 to Mar 30, 2015
      • Accounts · 100 to 97
        Mar 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $7.9M to $7.0M
        Mar 21, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $227M to $242M
        Mar 21, 2013 to Mar 28, 2014
      Signals
      1 dated events
      • R••••••••• A•••• A••••••• reported RAUM $173.6M, down 49% from $337.2M (2018-03-28 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      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