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

L•••• T••••••• • A••••••••• I•••

Former SEC-registered adviserDallas, TexasCRD 112258SEC 801-43016IAPD
Latest filing Mar 22, 2016
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
3.6%
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.3B as of Mar 22, 2016
Mar 28, 2012$751M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2016
Mar 28, 20120 then
Employees (5.A)6 as of Mar 22, 2016
Feb 28, 20137 then
Private funds: no history
RAUM +0.3% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$66.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
3.6%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, publications, educational seminars, 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
35reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
    • T•••••••• L••••• J•• · Principalcontrol
      since 12/1992 · owns 75% or more
    • T•••••••• R•••••••• H••• · Chief Compliance Officercontrol
      since 12/2003 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list L•••• T••••••• • A••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 37 to 35
      Mar 16, 2015 to Mar 22, 2016
    • Advisory employees · 6 to 5
      Mar 16, 2015 to Mar 22, 2016
    • Discretionary RAUM · $105M to $82.8M
      Mar 16, 2015 to Mar 22, 2016
    • Non-discretionary RAUM · $2.2B to $2.2B
      Mar 16, 2015 to Mar 22, 2016
    • RAUM · $2.3B to $2.3B
      Mar 16, 2015 to Mar 22, 2016
    • Accounts · 35 to 37
      Apr 17, 2014 to Mar 16, 2015
    • Discretionary RAUM · $103M to $105M
      Apr 17, 2014 to Mar 16, 2015
    • Non-discretionary RAUM · $2.0B to $2.2B
      Apr 17, 2014 to Mar 16, 2015
    • RAUM · $2.1B to $2.3B
      Apr 17, 2014 to Mar 16, 2015
    • Accounts · 31 to 35
      Mar 8, 2013 to Mar 21, 2014
    • Advisory employees · 7 to 6
      Mar 8, 2013 to Mar 21, 2014
    • Employees · 7 to 6
      Mar 8, 2013 to Mar 21, 2014
    • Discretionary RAUM · $84.7M to $103M
      Mar 8, 2013 to Mar 21, 2014
    • Non-discretionary RAUM · $1.6B to $2.0B
      Mar 8, 2013 to Mar 21, 2014
    • RAUM · $1.7B to $2.1B
      Mar 8, 2013 to Mar 21, 2014
    • Accounts · 29 to 31
      Aug 20, 2012 to Feb 28, 2013
    • Advisory employees · unset to 7.0
      Aug 20, 2012 to Feb 28, 2013
    • Advisory activities · 4 to 5
      Aug 20, 2012 to Feb 28, 2013
    • Employees · unset to 7.0
      Aug 20, 2012 to Feb 28, 2013
    • Discretionary RAUM · $129M to $84.7M
      Aug 20, 2012 to Feb 28, 2013
    • Non-discretionary RAUM · $622M to $1.6B
      Aug 20, 2012 to Feb 28, 2013
    • RAUM · $751M to $1.7B
      Aug 20, 2012 to Feb 28, 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