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.

Former SEC-registered adviser

Frontier Investment Management Co

Former SEC-registered adviserDallas, TexasCRD 110430SEC 801-36925IAPD
Legal name Frontier Investment Management Co.
Latest filing Jul 29, 2020
First filing on the tape Dec 2, 2011 · 63 filings
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
36 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$3.3B as of Mar 25, 2020
Mar 30, 2012$759M then
HNW client RAUM$3.0B as of Mar 25, 2020
Mar 29, 2018$1.7B then
State-registered IARs (5.B.3)36 as of Mar 25, 2020
Jan 18, 201313 then
Employees (5.A)40 as of Mar 25, 2020
Jan 18, 201316 then
Private funds1 as of Jan 18, 2013
Mar 30, 20121 then
RAUM +30% over the last fiscal year+21% a year over threeIARs 32 to 36offices 15 to 19
Practice profile
derived from the filing of Jul 29, 2020; every figure names its basis
RAUM per advisor
$91.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$716,556derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.8derived20 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, educational seminarsreportedItem 5.G
Custody
$1.9M, 1,016 clientsreportedItem 9.A
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 an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.0B91%
  • Individuals$252M7.7%
  • Investment companies$52.4M1.6%
Individual clients
593reported
HNW clients
1,219reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,587reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$1.9M for 1,016 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Fimco Partners I, L.P.no longer reportedHedge Fund$115,7396Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Leigh Jessica Cafferata · Chief Compliance Officercontrol
    since 01/2016 · owns less than 5%
  • Sean Brian Hattendorf · Vp & Secretarycontrol
    since 05/2001 · owns 25% to 50%
  • Thomas Gary Schoen · Presidentcontrol
    since 08/1994 · owns 25% to 50%
  • Giddings Richard Sowden · Vp & Treasurercontrol
    since 01/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Austin, TX4 employees
  • Austin, TX4 employees
  • San Ramon, CA2 employees
  • Houston, TX2 employees
  • Mandeville, LA1 employees
  • San Antonio, TX1 employees
  • San Diego, CA1 employees
  • Scottsdale, AZ1 employees
  • , 1 employees
  • Clearwater, FL1 employees
  • Dade City, FL1 employees
  • Denver, CO1 employees
What changed
consecutive filings, newest first
  • Other offices · 18 to 19
    Jun 29, 2020 to Jul 29, 2020
  • Accounts · 3,772 to 4,587
    Jan 6, 2020 to Mar 25, 2020
  • Advisory employees · 32 to 36
    Jan 6, 2020 to Mar 25, 2020
  • Corporate clients · 9.0 to unset
    Jan 6, 2020 to Mar 25, 2020
  • HNW clients · 706 to 1,219
    Jan 6, 2020 to Mar 25, 2020
  • Individual clients · 808 to 593
    Jan 6, 2020 to Mar 25, 2020
  • Pension plan clients · 24.0 to unset
    Jan 6, 2020 to Mar 25, 2020
  • Assets in custody · $1.1B to $1.9M
    Jan 6, 2020 to Mar 25, 2020
  • Employees · 36 to 40
    Jan 6, 2020 to Mar 25, 2020
  • State-registered IARs · 32 to 36
    Jan 6, 2020 to Mar 25, 2020
  • Other offices · 17 to 18
    Jan 6, 2020 to Mar 25, 2020
  • Discretionary RAUM · $2.5B to $3.3B
    Jan 6, 2020 to Mar 25, 2020
  • HNW RAUM · $1.9B to $3.0B
    Jan 6, 2020 to Mar 25, 2020
  • Individual RAUM · $421M to $252M
    Jan 6, 2020 to Mar 25, 2020
  • Pension RAUM · 44017421.0 to unset
    Jan 6, 2020 to Mar 25, 2020
  • RAUM · $2.5B to $3.3B
    Jan 6, 2020 to Mar 25, 2020
  • Other offices · 16 to 17
    Nov 4, 2019 to Nov 7, 2019
  • Other offices · 15 to 16
    Mar 28, 2019 to Aug 12, 2019
  • Accounts · 3,157 to 3,772
    Mar 6, 2019 to Mar 28, 2019
  • Advisory employees · 27 to 32
    Mar 6, 2019 to Mar 28, 2019
  • Corporate clients · 20 to 9
    Mar 6, 2019 to Mar 28, 2019
  • HNW clients · 582 to 706
    Mar 6, 2019 to Mar 28, 2019
  • Individual clients · 703 to 808
    Mar 6, 2019 to Mar 28, 2019
  • Pension plan clients · 12 to 24
    Mar 6, 2019 to Mar 28, 2019
  • Assets in custody · $1.4B to $1.1B
    Mar 6, 2019 to Mar 28, 2019
  • Employees · 30 to 36
    Mar 6, 2019 to Mar 28, 2019
  • Financial planning clients · 51-100 to 101-250
    Mar 6, 2019 to Mar 28, 2019
  • State-registered IARs · 21 to 32
    Mar 6, 2019 to Mar 28, 2019
  • Discretionary RAUM · $2.3B to $2.5B
    Mar 6, 2019 to Mar 28, 2019
  • HNW RAUM · $1.7B to $1.9B
    Mar 6, 2019 to Mar 28, 2019
  • Individual RAUM · $444M to $421M
    Mar 6, 2019 to Mar 28, 2019
  • Pension RAUM · $19.4M to $44.0M
    Mar 6, 2019 to Mar 28, 2019
  • RAUM · $2.3B to $2.5B
    Mar 6, 2019 to Mar 28, 2019
  • Related adviser · true to false
    Dec 13, 2018 to Mar 6, 2019
  • Related insurance company · true to false
    Dec 13, 2018 to Mar 6, 2019
  • Other offices · 12 to 15
    Oct 17, 2018 to Dec 13, 2018
  • Other offices · 11 to 12
    Jul 23, 2018 to Aug 29, 2018
  • Advisory employees · 25 to 27
    May 9, 2018 to Jul 12, 2018
  • Employees · 28 to 30
    May 9, 2018 to Jul 12, 2018
  • State-registered IARs · 19 to 21
    May 9, 2018 to Jul 12, 2018
Signals
3 dated events
  • Frontier Investment Management Co reported RAUM $3.3B, up 30% from $2.5B (2020-01-06 to 2020-03-25)
    Mar 25, 2020 · RAUM change · derived
  • Frontier Investment Management Co reported 32 state-registered advisory representatives, up from 21 (2019-03-06 to 2019-03-28)
    Mar 28, 2019 · Advisor headcount change · derived
  • Frontier Investment Management Co reported RAUM $2.3B, up 25% from $1.9B (2018-01-30 to 2018-03-29)
    Mar 29, 2018 · 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