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

O••••• C•••••• M••••••••• I•••

Former SEC-registered adviserSan Antonio, TexasCRD 111409SEC 801-57706IAPD
Legal name O••••• C•••••• M••••••••• I••
Latest filing Mar 25, 2014
First filing on the tape Feb 27, 2012 · 6 filings
RAUM
$252M
reported, Item 5.F
Discretionary
100%
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$252M as of Mar 25, 2014
Feb 27, 2012$227M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2014
Feb 22, 20133 then
Employees (5.A)7 as of Mar 25, 2014
Feb 22, 20137 then
Private funds: no history
RAUM +1.8% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2014; every figure names its basis
RAUM per advisor
$83.9MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%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 feesreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • 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
226reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••• B•••••••• J•••• · Vice President/Chief Compliance Officercontrol
    since 02/2013 · owns less than 5%
  • M••••••••• L•••• N•• · Presidentcontrol
    since 07/1995 · owns less than 5%
Entity owners
  • A••••••• W••••• M••••••••• I••• · Owner
    direct · owns 75% or more
  • A••••••• H•••••••• I••• · Owner
    indirect · owns 75% or more of A••••••• W••••• M••••••••• I•••
  • C••••••••• A••••••• S••••• D• C••• · Shareholder
    indirect · owns 75% or more of A••••••• H•••••••• I•••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 238 to 226
    Nov 11, 2013 to Mar 25, 2014
  • Discretionary RAUM · $246M to $252M
    Nov 11, 2013 to Mar 25, 2014
  • Non-discretionary RAUM · $5.6M to $0
    Nov 11, 2013 to Mar 25, 2014
  • RAUM · $252M to $252M
    Nov 11, 2013 to Mar 25, 2014
  • Accounts · 228 to 238
    Feb 26, 2013 to Nov 11, 2013
  • Discretionary RAUM · $247M to $246M
    Feb 26, 2013 to Nov 11, 2013
  • Non-discretionary RAUM · $0 to $5.6M
    Feb 26, 2013 to Nov 11, 2013
  • RAUM · $247M to $252M
    Feb 26, 2013 to Nov 11, 2013
  • Related adviser · false to true
    Feb 26, 2013 to Nov 11, 2013
  • Related broker-dealer · false to true
    Feb 26, 2013 to Nov 11, 2013
  • Accounts · 238 to 228
    Feb 27, 2012 to Feb 22, 2013
  • Advisory employees · unset to 3.0
    Feb 27, 2012 to Feb 22, 2013
  • Employees · unset to 7.0
    Feb 27, 2012 to Feb 22, 2013
  • State-registered IARs · unset to 3.0
    Feb 27, 2012 to Feb 22, 2013
  • Discretionary RAUM · $227M to $247M
    Feb 27, 2012 to Feb 22, 2013
  • RAUM · $227M to $247M
    Feb 27, 2012 to Feb 22, 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