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
A••••• I••••••••• • A•••••••
Legal name A••••• A••••••• L••
Latest filing Aug 2, 2023
First filing on the tape Dec 16, 2011 · 61 filings
RAUM
$7.3B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
71%
$5.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
32 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
19
$953M gross assets
History
61 filings and snapshots on the tape
RAUM$7.3B as of Mar 31, 2023
Mar 29, 2012$3.8B then
HNW client RAUM$5.0B as of Mar 31, 2023
Mar 31, 2018$4.6B then
State-registered IARs (5.B.3)40 as of Mar 31, 2023
Mar 29, 20120 then
Employees (5.A)55 as of Mar 31, 2023
Apr 1, 201339 then
Private funds19 as of Mar 31, 2023
Apr 1, 20133 then
RAUM -13% over the last fiscal year-4.7% a year over threeIARs 40 to 40
Practice profile
derived from the filing of Aug 2, 2023; every figure names its basis
- RAUM per advisor
- $183MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 20.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $5.5B, 1,390 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
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.0B69%
- Pooled investment vehicles$964M13%
- Charitable organizations$682M9.4%
- Insurance companies$193M2.6%
- Individuals$180M2.5%
- Corporations and businesses$175M2.4%
- Pension and profit-sharing plans$68.0M0.9%
- Banks and thrifts$32.4M0.4%
- Individual clients
- 327reported
- HNW clients
- 1,207reported
- Pension plan clients
- 4reported
- Charitable clients
- 98reported
- Accounts
- 2,101reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $35.2M managedreported
- Custody of client assets
- $5.5B for 1,390 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- C••••••••• D•••• C••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- C••••••••• M• H•••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- J•••• N••• D••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- R••• W••••• F••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- C•••••• B•••• M•••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- B•••• A••• W••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- G•••••• D•••••• O••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- W•••••• M•••• M•••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- J••• T••••••• L•••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- J••••• J•••••• F••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- L••••• E•••••••• P•••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- Z•••••• D•••• T••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- D•••• J••• J••••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- H•••• J•••• L••••••• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
- J•••••• F••• H•• L•• to C••••••Jul 21, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• C•••• M••••••• from L•• F•••••••• L••May 12, 2022 · RIA to RIA
- J•••• N••• D••••••• from G•••••• S•••• W••••• S•••••••• L•••Jun 19, 2019 · Other
- A••• B•••••• S••••••••• from P•• M•••••• A•••••• S••••••••• I•••Jun 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••••• M•••••• J••••• from H•••••• C•••••• L•••Oct 12, 2018 · Other
- S••••• F••••••••• G••••• from A••••• T••••• K••• • G•••••• L••Dec 27, 2016 · Other
- J••• A•••••• L•••• from M••••••••• C•••••• M••••••••• L••Dec 26, 2016 · Other
- F•••••••• M•••••• H••••• from H••••• W••••• A•••••••• L••Dec 19, 2014 · Other
- J•••••• F••• H•• L•• from L••••• C•••••• M••••••••• L••Oct 17, 2014 · Other
- A••••• F•••••• from B•••••••• C•••••• M••••••••• L••May 20, 2013 · Other
- J••• P••••• M••• from H•••••• G••••• I••••••••• L••Mar 28, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 18 left for C••••••Jul 21, 2023 · H••••••, Tx · Firm absorbed
- 3 left for L••••• K••• C•••••• M••••••••• C•••••••••Jan 10, 2022 · San A••••••, Tx
- 2 left for E••••• R••• P•••••••• L••Jan 6, 2022 · San A••••••, Tx
- 2 left for A•••••••• P•••••••• L••Aug 3, 2021 · H••••••, Tx
- 3 left for I••• W••••• P•••••••• L••Jun 23, 2020 · H••••••, Tx
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• I••••••••• P•••••••• L•• ••••• 2••• A••••• V••••• | Other Private Fund | $141,831 | 22 | Jul 16, 2019 |
| H•••••• G••••• F•••• L•no longer reported | Hedge Fund | $0 | 7 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• L••••• T•••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- R••••• T•••••• A•••• · Chief Executive Officercontrolsince 01/2020 · owns less than 5%
Entity owners
- C•••••• P•••••• W••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C•••• · Ownerindirect · owns 75% or more of C•••••• H••••••• I•• · public reporting company
- C•••••• H••••••• I•• · Ownerindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• P••••••• L•• · Ownerindirect · owns 75% or more of C•••••• P•••••• W••••• L••
Related persons
Schedule D 7.A
- 4••• G••••• L••investment advisernRAUM $773M
- 4• G•• G• I• L••investment adviserpooled vehicle sponsorn
- A••••• C•••••• P•••••• E••••• F••• I• G•• L••pooled vehicle sponsory
- A••••• G••••• R••• A••••• F••• G•• L••pooled vehicle sponsory
- A••••• H••• I••••• M•••••••• F••• G•• L••pooled vehicle sponsory
- A••••• P•••••• E••••• F••• G•• L••pooled vehicle sponsory
- A••••• W•••••• I••••••••• M••••••••• L••pooled vehicle sponsory
- A••••• W••••• M••••••••• L••broker-dealery
- C••••••investment adviseryRAUM $165B
- C••••••• Group, LLCinvestment adviserpooled vehicle sponsornRAUM $9.8B
Offices
Schedule D 1.F, the 25 largest
- San A••••••, TX
What changed
consecutive filings, newest first
- Accounts · 5,107 to 2,101Jan 3, 2023 to Mar 31, 2023
- Advisory employees · 43 to 32Jan 3, 2023 to Mar 31, 2023
- Charity clients · 135 to 98Jan 3, 2023 to Mar 31, 2023
- Corporate clients · 11 to 17Jan 3, 2023 to Mar 31, 2023
- HNW clients · 1,616 to 1,207Jan 3, 2023 to Mar 31, 2023
- Individual clients · 369 to 327Jan 3, 2023 to Mar 31, 2023
- Pension plan clients · 6 to 4Jan 3, 2023 to Mar 31, 2023
- Pooled vehicle clients · 10 to 7Jan 3, 2023 to Mar 31, 2023
- Assets in custody · $4.7B to $5.5BJan 3, 2023 to Mar 31, 2023
- Employees · 68 to 55Jan 3, 2023 to Mar 31, 2023
- Private funds · 14 to 19Jan 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $6.9B to $7.0BJan 3, 2023 to Mar 31, 2023
- HNW RAUM · $6.4B to $5.0BJan 3, 2023 to Mar 31, 2023
- Individual RAUM · $107M to $180MJan 3, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $1.4B to $278MJan 3, 2023 to Mar 31, 2023
- Pension RAUM · $64.6M to $68.0MJan 3, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $360M to $964MJan 3, 2023 to Mar 31, 2023
- RAUM · $8.4B to $7.3BJan 3, 2023 to Mar 31, 2023
- Wrap assets (manager) · $32.0M to $35.2MJan 3, 2023 to Mar 31, 2023
- Assets in custody · $4.4B to $4.7BNov 15, 2021 to Mar 31, 2022
- Private funds · 9 to 14Nov 15, 2021 to Mar 31, 2022
- Succession · true to falseMar 31, 2021 to Aug 30, 2021
- Accounts · 5,191 to 5,107Nov 30, 2020 to Mar 31, 2021
- Advisory employees · 48 to 43Nov 30, 2020 to Mar 31, 2021
- Charity clients · 110 to 135Nov 30, 2020 to Mar 31, 2021
- Corporate clients · 10 to 11Nov 30, 2020 to Mar 31, 2021
- HNW clients · 1,419 to 1,616Nov 30, 2020 to Mar 31, 2021
- Individual clients · 304 to 369Nov 30, 2020 to Mar 31, 2021
- Pension plan clients · 5 to 6Nov 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 8 to 10Nov 30, 2020 to Mar 31, 2021
- Assets in custody · $5.0B to $4.4BNov 30, 2020 to Mar 31, 2021
- Employees · 67 to 68Nov 30, 2020 to Mar 31, 2021
- Private funds · 5 to 9Nov 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $7.1B to $6.9BNov 30, 2020 to Mar 31, 2021
- HNW RAUM · $6.4B to $6.4BNov 30, 2020 to Mar 31, 2021
- Individual RAUM · $75.2M to $107MNov 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.3B to $1.4BNov 30, 2020 to Mar 31, 2021
- Pension RAUM · $57.9M to $64.6MNov 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $426M to $360MNov 30, 2020 to Mar 31, 2021
- RAUM · $8.4B to $8.4BNov 30, 2020 to Mar 31, 2021
Signals
60 dated events
- H•••• J•••• L••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-18)Jul 21, 2023 · Advisor changed firm · fact
- A••••• I••••••••• • A•••••••'s advisors moved to C•••••• (Houston, TX): 18 of 18 registered, on the same dayJul 21, 2023 · Firm absorbed (people side) · derived
- G••••• E•••• N••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- J•••••• F••• H•• L•• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- C••••••••• D•••• C••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-18)Jul 21, 2023 · Advisor changed firm · fact
- J••• T••••••• L•••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- C••••••••• M• H•••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- J•••• N••• D••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- D•••• C•••• M••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- E•••••••• P••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- G•••••• D•••••• O••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- B•••• A••• W••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- D•••• J••• J••••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- J••••• J•••••• F••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- L••••• E•••••••• P•••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- R••• W••••• F••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- Z•••••• D•••• T••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-04)Jul 21, 2023 · Advisor changed firm · fact
- W•••••• M•••• M•••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-02)Jul 21, 2023 · Advisor changed firm · fact
- C•••••• B•••• M•••••••• left A••••• I••••••••• • A••••••• for C•••••• (registered 2023-05-10)Jul 21, 2023 · Advisor changed firm · fact
- M•••• C•••••••• I•••••• (Chief Operating Officer / Chief Compliance Officer / Chief Legal Officer) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- James Henry Lartigue (Executive Officer, Member, Elected Manager) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- Thurman Willie Langston (Vice Chairman, Member, Elected Manager) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- John Kevin Lilly (Executive Officer, Member, Elected Manager) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- D•••••• R•••••• G•••• (Limited Partner) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- K••• R••••• H•••••• (Executive Chairman/Member) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- M C••••••••• H•••••• (Chief Investment Officer) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- E••••• H•••••• S•••••• (Member) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- Allen Craig Huff (Member) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- Whitfield William Gardner (Member) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
- S•••••••• L•••• (Elected Manager) no longer on Schedule A of A••••• I••••••••• • A••••••• (listed 2023-03-31, absent 2023-06-14)Jun 14, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••• I••••••••• • A••••••• · Private Equityshared crd · organization
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