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

Capital One Asset Management, LLC

Former SEC-registered adviserHouston, TexasCRD 110533SEC 801-60234IAPD
Latest filing Mar 29, 2018
First filing on the tape Dec 19, 2011 · 28 filings
RAUM
$2.5B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
29%
$737M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.5B as of Mar 29, 2018
Mar 30, 2012$3.1B then
HNW client RAUM: $425M
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)11 as of Mar 29, 2018
Apr 1, 201326 then
Private funds: no history
RAUM -35% over the last fiscal year-13% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$1.3BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
163derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$4.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 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 institutions, publicationsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.2B49%
  • High-net-worth individuals$425M17%
  • Individuals$312M12%
  • Pension and profit-sharing plans$275M11%
  • Charitable organizations$272M11%
Individual clients
189reported
HNW clients
137reported
Pension plan clients
28reported
Charitable clients
84reported
Accounts
526reported
Financial planning clients
n/areported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
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
    • N. Gilbert Braunig · Appointed Board Membercontrol
      since 06/2017 · owns less than 5%
    • Bernard George Gammond · Appointed Board Membercontrol
      since 02/2017 · owns less than 5%
    • Daniel Hugo · Appointed Board Membercontrol
      since 02/2014 · owns less than 5%
    • Christopher Martin Sirera · Appointed Board Membercontrol
      since 06/2017 · owns less than 5%
    • Paul Robert Teten · President And Chief Investment Officercontrol
      since 06/2014 · owns less than 5%
    • Ivan Mark Douce · Chief Compliance Officer
      since 01/2017 · owns less than 5%
    Entity owners
    • Capital One, National Association · Owner
      direct · owns 75% or more · public reporting company
    • Capital One Financial Corporation · Owner
      indirect · owns 75% or more of Capital One, National Association · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • New Orleans, LA3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 731 to 526
      Sep 28, 2017 to Mar 29, 2018
    • BD registered reps · 1 to 0
      Sep 28, 2017 to Mar 29, 2018
    • Charity clients · unset to 84.0
      Sep 28, 2017 to Mar 29, 2018
    • Corporate clients · unset to 88.0
      Sep 28, 2017 to Mar 29, 2018
    • HNW clients · unset to 137.0
      Sep 28, 2017 to Mar 29, 2018
    • Individual clients · unset to 189.0
      Sep 28, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 28.0
      Sep 28, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Sep 28, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Sep 28, 2017 to Mar 29, 2018
    • Discretionary RAUM · $2.5B to $2.3B
      Sep 28, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 425001532.0
      Sep 28, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 312103523.0
      Sep 28, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $0 to $232M
      Sep 28, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 275008593.0
      Sep 28, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Sep 28, 2017 to Mar 29, 2018
    • RAUM · $2.5B to $2.5B
      Sep 28, 2017 to Mar 29, 2018
    • Accounts · 1,732 to 731
      Mar 31, 2017 to Sep 28, 2017
    • Advisory employees · 19 to 8
      Mar 31, 2017 to Sep 28, 2017
    • Advisory activities · 4 to 3
      Mar 31, 2017 to Sep 28, 2017
    • BD registered reps · 5 to 1
      Mar 31, 2017 to Sep 28, 2017
    • Employees · 26 to 11
      Mar 31, 2017 to Sep 28, 2017
    • HQ city · NEW YORK to HOUSTON
      Mar 31, 2017 to Sep 28, 2017
    • HQ state · NY to TX
      Mar 31, 2017 to Sep 28, 2017
    • State-registered IARs · 4 to 2
      Mar 31, 2017 to Sep 28, 2017
    • Discretionary RAUM · $3.9B to $2.5B
      Mar 31, 2017 to Sep 28, 2017
    • Non-discretionary RAUM · $41.4M to $0
      Mar 31, 2017 to Sep 28, 2017
    • RAUM · $3.9B to $2.5B
      Mar 31, 2017 to Sep 28, 2017
    • Accounts · 1,843 to 1,732
      Jan 31, 2017 to Mar 31, 2017
    • Advisory employees · 22 to 19
      Jan 31, 2017 to Mar 31, 2017
    • BD registered reps · 0 to 5
      Jan 31, 2017 to Mar 31, 2017
    • Employees · 29 to 26
      Jan 31, 2017 to Mar 31, 2017
    • State-registered IARs · 0 to 4
      Jan 31, 2017 to Mar 31, 2017
    • Discretionary RAUM · $3.8B to $3.9B
      Jan 31, 2017 to Mar 31, 2017
    • Non-discretionary RAUM · $37.4M to $41.4M
      Jan 31, 2017 to Mar 31, 2017
    • RAUM · $3.9B to $3.9B
      Jan 31, 2017 to Mar 31, 2017
    • Accounts · 1,915 to 1,843
      Dec 15, 2015 to Mar 30, 2016
    • Employees · 30 to 29
      Dec 15, 2015 to Mar 30, 2016
    • Discretionary RAUM · $3.8B to $3.8B
      Dec 15, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $0 to $37.4M
      Dec 15, 2015 to Mar 30, 2016
    • RAUM · $3.8B to $3.9B
      Dec 15, 2015 to Mar 30, 2016
    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.
    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