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

F•••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserHouston, TexasCRD 111911SEC 801-14063IAPD
Latest filing Sep 27, 2017
First filing on the tape Mar 21, 2012 · 14 filings
RAUM
$88.1M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$265M as of Mar 29, 2017
Mar 21, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 29, 2017
Mar 20, 20133 then
Employees (5.A)5 as of Mar 29, 2017
Mar 20, 20135 then
Private funds: no history
RAUM -67% over the last fiscal year-33% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Sep 27, 2017; every figure names its basis
RAUM per advisor
$29.4MderivedRAUM 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
$342,831derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%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, hourlyreportedItem 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)
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
257reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••••••••• J••••••• L•••••• · Presidentcontrol
      since 07/1978 · owns 50% to 75%
    • R••••••• J•••••••• G• · Chief Compliance Officer/Vice Presidentcontrol
      since 09/2017 · owns 25% to 50%
    • T•••••• M•••• E• · Shareholder
      since 01/2013 · 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 · 641 to 257
      Mar 29, 2017 to Sep 27, 2017
    • Advisory employees · 4 to 3
      Mar 29, 2017 to Sep 27, 2017
    • Employees · 5 to 4
      Mar 29, 2017 to Sep 27, 2017
    • State-registered IARs · 4 to 3
      Mar 29, 2017 to Sep 27, 2017
    • Discretionary RAUM · $265M to $88.1M
      Mar 29, 2017 to Sep 27, 2017
    • RAUM · $265M to $88.1M
      Mar 29, 2017 to Sep 27, 2017
    • Accounts · 731 to 641
      Nov 30, 2016 to Mar 29, 2017
    • Employees · 6 to 5
      Nov 30, 2016 to Mar 29, 2017
    • Discretionary RAUM · $269M to $265M
      Nov 30, 2016 to Mar 29, 2017
    • RAUM · $269M to $265M
      Nov 30, 2016 to Mar 29, 2017
    • Accounts · 769 to 731
      May 28, 2015 to Mar 28, 2016
    • Discretionary RAUM · $308M to $269M
      May 28, 2015 to Mar 28, 2016
    • RAUM · $308M to $269M
      May 28, 2015 to Mar 28, 2016
    • Accounts · 717 to 769
      Aug 29, 2014 to Mar 25, 2015
    • State-registered IARs · 3 to 4
      Aug 29, 2014 to Mar 25, 2015
    • Discretionary RAUM · $291M to $308M
      Aug 29, 2014 to Mar 25, 2015
    • RAUM · $291M to $308M
      Aug 29, 2014 to Mar 25, 2015
    • Accounts · 684 to 717
      Mar 20, 2013 to Mar 24, 2014
    • Advisory employees · 3 to 4
      Mar 20, 2013 to Mar 24, 2014
    • Employees · 5 to 6
      Mar 20, 2013 to Mar 24, 2014
    • Discretionary RAUM · $228M to $291M
      Mar 20, 2013 to Mar 24, 2014
    • RAUM · $228M to $291M
      Mar 20, 2013 to Mar 24, 2014
    • Accounts · 626 to 684
      Mar 21, 2012 to Mar 20, 2013
    • Advisory employees · unset to 3.0
      Mar 21, 2012 to Mar 20, 2013
    • Employees · unset to 5.0
      Mar 21, 2012 to Mar 20, 2013
    • State-registered IARs · unset to 3.0
      Mar 21, 2012 to Mar 20, 2013
    • Discretionary RAUM · $207M to $228M
      Mar 21, 2012 to Mar 20, 2013
    • RAUM · $207M to $228M
      Mar 21, 2012 to Mar 20, 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