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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•••••• • P••• C•••

Former SEC-registered adviserSan Antonio, TexasCRD 110732SEC 801-32548IAPD
Legal name N•••••• • P•••• I•••••••••
Latest filing Mar 25, 2016
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$171M
reported, Item 5.F
Discretionary
81%
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$171M as of Mar 25, 2016
Mar 29, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 25, 2016
Mar 29, 20120 then
Employees (5.A)7 as of Mar 25, 2016
Mar 19, 201311 then
Private funds: no history
RAUM -3.6% over the last fiscal year+6.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 2016; every figure names its basis
RAUM per advisor
$42.8MderivedRAUM 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
$634,616derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$12.2M, 14 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
  • 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)
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
270reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$12.2M for 14 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• C•••••• J• · President/Chief Compliance Officercontrol
        since 07/2000 · owns 75% or more
      • P•••• D••• A••••• · Secretarycontrol
        since 07/2000 · owns 10% to 25%
      • S••••••• M•••••••• R•••• · Vice Presidentcontrol
        since 09/2009 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 281 to 270
        May 29, 2015 to Mar 25, 2016
      • Assets in custody · $9.5M to $12.2M
        May 29, 2015 to Mar 25, 2016
      • Discretionary RAUM · $146M to $138M
        May 29, 2015 to Mar 25, 2016
      • Non-discretionary RAUM · $31.3M to $32.9M
        May 29, 2015 to Mar 25, 2016
      • RAUM · $178M to $171M
        May 29, 2015 to Mar 25, 2016
      • Assets in custody · $8.7M to $9.5M
        Mar 26, 2015 to May 29, 2015
      • Accounts · 279 to 281
        Apr 30, 2014 to Mar 26, 2015
      • Assets in custody · $6.1M to $8.7M
        Apr 30, 2014 to Mar 26, 2015
      • Discretionary RAUM · $134M to $146M
        Apr 30, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $31.5M to $31.3M
        Apr 30, 2014 to Mar 26, 2015
      • RAUM · $165M to $178M
        Apr 30, 2014 to Mar 26, 2015
      • Accounts · 274 to 279
        Mar 20, 2013 to Mar 25, 2014
      • Assets in custody · $4.5M to $6.1M
        Mar 20, 2013 to Mar 25, 2014
      • Employees · 11 to 7
        Mar 20, 2013 to Mar 25, 2014
      • Discretionary RAUM · $117M to $134M
        Mar 20, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $25.6M to $31.5M
        Mar 20, 2013 to Mar 25, 2014
      • RAUM · $142M to $165M
        Mar 20, 2013 to Mar 25, 2014
      • Business name · N•••••• • P•••• I••••••••• to N•••••• • P••• C•••
        Mar 19, 2013 to Mar 20, 2013
      • Discretionary RAUM · $117M to $117M
        Mar 19, 2013 to Mar 20, 2013
      • RAUM · $142M to $142M
        Mar 19, 2013 to Mar 20, 2013
      • Accounts · 268 to 274
        Jun 6, 2012 to Mar 19, 2013
      • Advisory employees · unset to 4.0
        Jun 6, 2012 to Mar 19, 2013
      • Advisory activities · 6 to 4
        Jun 6, 2012 to Mar 19, 2013
      • Assets in custody · $7.6M to $4.5M
        Jun 6, 2012 to Mar 19, 2013
      • Employees · unset to 11.0
        Jun 6, 2012 to Mar 19, 2013
      • State-registered IARs · 0 to 4
        Jun 6, 2012 to Mar 19, 2013
      • Discretionary RAUM · $103M to $117M
        Jun 6, 2012 to Mar 19, 2013
      • Non-discretionary RAUM · $24.7M to $25.6M
        Jun 6, 2012 to Mar 19, 2013
      • RAUM · $128M to $142M
        Jun 6, 2012 to Mar 19, 2013
      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