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••••••• L••

Former SEC-registered adviserHouston, TexasCRD 110949SEC 801-60054IAPD
Latest filing Oct 24, 2018
First filing on the tape Mar 26, 2012 · 30 filings
RAUM
$50.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$50.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$50.2M as of Mar 29, 2018
Mar 26, 2012$437M then
HNW client RAUM: $17.7M
State-registered IARs (5.B.3)4 as of Mar 29, 2018
Mar 26, 20120 then
Employees (5.A)6 as of Mar 29, 2018
Mar 28, 20134 then
Private funds: no history
RAUM +2.7% over the last fiscal year-52% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Oct 24, 2018; every figure names its basis
RAUM per advisor
$12.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$804,545derivedHNW RAUM over HNW clients
Average account
$760,606derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2.7%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, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
Wrap fee program
$52.0MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$32.5M65%
  • High-net-worth individuals$17.7M35%
Individual clients
44reported
HNW clients
22reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
66reported
Financial planning clients
1-10reported
Wrap fee programs
$52.0M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
  • B•••• G•••••• L••••• · Vpcontrol
    since 09/2015 · owns less than 5%
  • S••••••• A•••••• H••• · Managing Director, Associate General Counselcontrol
    since 02/2017 · owns less than 5%
  • S••••••• A•••••• H••• · Member/Managercontrol
    since 05/2015 · owns 50% to 75% of T••••••• S••••••• L••
  • S••••••• A•••••• H••• · Member/Managercontrol
    since 05/2015 · owns 50% to 75% of T••••••• Holdings, LLC
  • H•••• D••••• L•• · Chief Compliance Officer
    since 10/2018 · owns less than 5%
  • L••••• T•••••• J••• · General Counsel
    since 02/2018 · owns less than 5%
Entity owners
  • T••••••• H••••••• L•• · Member
    direct · owns 75% or more
  • T••••••• S••••••• L•• · Managing Member
    direct · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list M••••••••• F•••••••• S••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 82 to 66
    May 30, 2017 to Mar 29, 2018
  • Charity clients · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • Corporate clients · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • HNW clients · unset to 22.0
    May 30, 2017 to Mar 29, 2018
  • Individual clients · unset to 44.0
    May 30, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • Other offices · unset to 1.0
    May 30, 2017 to Mar 29, 2018
  • Discretionary RAUM · $48.2M to $50.2M
    May 30, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 17700000.0
    May 30, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 32500000.0
    May 30, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $672,041 to $0
    May 30, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • RAUM · $48.9M to $50.2M
    May 30, 2017 to Mar 29, 2018
  • Wrap assets (manager) · unset to 0.0
    May 30, 2017 to Mar 29, 2018
  • Wrap assets (sponsor) · unset to 52000000.0
    May 30, 2017 to Mar 29, 2018
  • Accounts · 240 to 82
    Oct 12, 2016 to Mar 31, 2017
  • BD registered reps · 4 to 5
    Oct 12, 2016 to Mar 31, 2017
  • Employees · 5 to 6
    Oct 12, 2016 to Mar 31, 2017
  • Insurance-licensed employees · 4 to 3
    Oct 12, 2016 to Mar 31, 2017
  • Financial planning clients · 26-50 to 1-10
    Oct 12, 2016 to Mar 31, 2017
  • State-registered IARs · 3 to 4
    Oct 12, 2016 to Mar 31, 2017
  • Discretionary RAUM · $110M to $48.2M
    Oct 12, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $55.3M to $672,041
    Oct 12, 2016 to Mar 31, 2017
  • RAUM · $166M to $48.9M
    Oct 12, 2016 to Mar 31, 2017
  • Accounts · 486 to 240
    Jun 22, 2016 to Oct 12, 2016
  • HQ city · THE WOODLANDS to HOUSTON
    Jun 22, 2016 to Oct 12, 2016
  • Discretionary RAUM · $388M to $110M
    Jun 22, 2016 to Oct 12, 2016
  • Non-discretionary RAUM · $19.1M to $55.3M
    Jun 22, 2016 to Oct 12, 2016
  • RAUM · $407M to $166M
    Jun 22, 2016 to Oct 12, 2016
  • BD registered reps · 3 to 4
    Mar 30, 2016 to Jun 1, 2016
  • Employees · 3 to 5
    Mar 30, 2016 to Jun 1, 2016
  • Insurance-licensed employees · 2 to 4
    Mar 30, 2016 to Jun 1, 2016
  • State-registered IARs · 2 to 3
    Mar 30, 2016 to Jun 1, 2016
  • Accounts · 500 to 486
    Oct 15, 2015 to Mar 30, 2016
  • Discretionary RAUM · $440M to $388M
    Oct 15, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $26.9M to $19.1M
    Oct 15, 2015 to Mar 30, 2016
  • RAUM · $467M to $407M
    Oct 15, 2015 to Mar 30, 2016
  • Business name · M••••••••• F•••••••• S•••••••• I•• to M••••••••• F•••••••• S••••••• L••
    Oct 1, 2015 to Oct 15, 2015
Signals
2 dated events
  • 2 advisors left S•••••• M••••• L•• (The Woodlands, TX) for M••••••••• F•••••••• S••••••• L•• on the same day
    Dec 3, 2025 · Team lift-out · derived
  • M••••••••• F•••••••• S•••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Oct 1, 2015 · Succession (Item 4) · fact
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