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

M•••••• F•••••••• S••••••• C••• I••

Former SEC-registered adviserHouston, TexasCRD 109806SEC 801-56058IAPD
Latest filing Jun 28, 2012
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$58.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$8.3M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$58.0M as of Jun 28, 2012
Mar 28, 2012$62.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 28, 2012; every figure names its basis
RAUM per advisor
$8.3MderivedRAUM 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
$282,927derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
7.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
205reported
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
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• H••••• W•••••Houston, TxDec 10, 199933 y0
J••• W••••• C•••Houston, TxDec 10, 199940 y0
J•• C•••••••• M•••••Houston, TxDec 10, 199927 y0
S••••• B•••• H••••Houston, TxApr 13, 200126 y0
A•••••• W•••• S••••••Houston, Tx Dec 15, 201021 y0
J••••••• D•••• E•••••Bentonville, Ar Aug 27, 201918 y0
T•••••• W•••••• K•••Houston, TxNov 18, 201914 y0
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
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•••• W••••• · Chief Executive Officercontrol
        since 03/1997 · owns 25% to 50%
      • D••••••• J••••• R• · Vice Presidentcontrol
        since 01/2000 · owns 10% to 25%
      • M•••••••• W••••••• R••••• · Chief Investment Officercontrol
        since 03/1997 · owns 10% to 25%
      • M•••••• J••• C•••••••• · Chief Compliance Officercontrol
        since 05/1999 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Houston, Tx · principal700
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $62.0M to $58.0M
        Mar 28, 2012 to May 29, 2012
      • RAUM · $62.0M to $58.0M
        Mar 28, 2012 to May 29, 2012
      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.
      How to reach
      public business contact points only, each with its source
      Website
      M••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
      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
      $8.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026