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

P••• B•••• C•••••• C•••••••••

Former SEC-registered adviserFort Smith, ArkansasCRD 109870SEC 801-60091IAPD
Latest filing Jan 28, 2014
First filing on the tape Jan 23, 2012 · 3 filings
RAUM
$317M
reported, Item 5.F
Discretionary
18%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$50.0M gross assets
History
3 filings and snapshots on the tape
RAUM$317M as of Jan 28, 2014
Jan 23, 2012$5.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2014
Jan 23, 20120 then
Employees (5.A)5 as of Jan 28, 2014
Mar 27, 20135 then
Private funds1 as of Jan 28, 2014
Jan 23, 20121 then
RAUM -68% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2014; 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
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
18%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-68%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companies, pension consulting, selection of other advisers, publications, 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • an independent public accountant performs a surprise examination (9.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
137reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••• B•••• E••••• F•••••••• F•••Private Equity Fund$50.0M3Jan 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••••• J•••• W••••• · Chief Compliance Officercontrol
        since 07/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      • B•••••• P••• A••••••••• I•••
        LP sponsorn
      • J••• W• T••••••••• P•••
        insurancen
      • P••• B•••• E••••• F•••••••• F•••
        insuranceLP sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX
      • Tulsa, OK
      What changed
      consecutive filings, newest first
      • Accounts · 197 to 137
        Mar 27, 2013 to Jan 28, 2014
      • Discretionary RAUM · $56.4M to $57.2M
        Mar 27, 2013 to Jan 28, 2014
      • Non-discretionary RAUM · $943M to $260M
        Mar 27, 2013 to Jan 28, 2014
      • RAUM · $999M to $317M
        Mar 27, 2013 to Jan 28, 2014
      • Accounts · 139 to 197
        Jan 23, 2012 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        Jan 23, 2012 to Mar 27, 2013
      • Advisory activities · 7 to 8
        Jan 23, 2012 to Mar 27, 2013
      • Employees · unset to 5.0
        Jan 23, 2012 to Mar 27, 2013
      • Discretionary RAUM · $5.1M to $56.4M
        Jan 23, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $0 to $943M
        Jan 23, 2012 to Mar 27, 2013
      • RAUM · $5.1M to $999M
        Jan 23, 2012 to Mar 27, 2013
      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