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

P••••• F•••••••• A•••••••

Former SEC-registered adviserHouston, TexasCRD 114213SEC 801-77990IAPD
Legal name C••• P•••••• I•••
Latest filing Apr 29, 2019
First filing on the tape Feb 27, 2012 · 20 filings
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$147M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$161M as of Mar 15, 2019
Feb 27, 2012$79.1M then
HNW client RAUM$138M as of Mar 15, 2019
Mar 12, 2018$150M then
State-registered IARs (5.B.3)2 as of Mar 15, 2019
Feb 27, 20120 then
Employees (5.A)2 as of Mar 15, 2019
Mar 24, 20142 then
Private funds: no history
RAUM -3.6% over the last fiscal year+5.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 29, 2019; every figure names its basis
RAUM per advisor
$80.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$549,296derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$10.1M, 18 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$138M85%
  • Pension and profit-sharing plans$14.1M8.8%
  • Individuals$9.4M5.8%
  • Corporations and businesses$242,2870.2%
Individual clients
26reported
HNW clients
47reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
294reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$10.1M for 18 clientsreported
Compensation
% of AUMreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••• C••••••• L•• · President And Chief Compliance Officercontrol
      since 01/1996 · owns 75% or more
    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 · 272 to 294
      Sep 25, 2018 to Mar 15, 2019
    • HNW clients · 51 to 47
      Sep 25, 2018 to Mar 15, 2019
    • Individual clients · 24 to 26
      Sep 25, 2018 to Mar 15, 2019
    • Assets in custody · $10.5M to $10.1M
      Sep 25, 2018 to Mar 15, 2019
    • Discretionary RAUM · $168M to $161M
      Sep 25, 2018 to Mar 15, 2019
    • HNW RAUM · $150M to $138M
      Sep 25, 2018 to Mar 15, 2019
    • Individual RAUM · $7.6M to $9.4M
      Sep 25, 2018 to Mar 15, 2019
    • Pension RAUM · $9.9M to $14.1M
      Sep 25, 2018 to Mar 15, 2019
    • RAUM · $168M to $161M
      Sep 25, 2018 to Mar 15, 2019
    • Accounts · 262 to 272
      Jan 17, 2017 to Mar 12, 2018
    • Corporate clients · unset to 1.0
      Jan 17, 2017 to Mar 12, 2018
    • HNW clients · unset to 51.0
      Jan 17, 2017 to Mar 12, 2018
    • Individual clients · unset to 24.0
      Jan 17, 2017 to Mar 12, 2018
    • Pension plan clients · unset to 3.0
      Jan 17, 2017 to Mar 12, 2018
    • Assets in custody · $4.2M to $10.5M
      Jan 17, 2017 to Mar 12, 2018
    • Other offices · unset to 0.0
      Jan 17, 2017 to Mar 12, 2018
    • Discretionary RAUM · $154M to $168M
      Jan 17, 2017 to Mar 12, 2018
    • HNW RAUM · unset to 149787543.0
      Jan 17, 2017 to Mar 12, 2018
    • Individual RAUM · unset to 7574911.0
      Jan 17, 2017 to Mar 12, 2018
    • Pension RAUM · unset to 9865965.0
      Jan 17, 2017 to Mar 12, 2018
    • RAUM · $154M to $168M
      Jan 17, 2017 to Mar 12, 2018
    • Accounts · 260 to 262
      Mar 21, 2016 to Jan 17, 2017
    • Assets in custody · $11.0M to $4.2M
      Mar 21, 2016 to Jan 17, 2017
    • Discretionary RAUM · $140M to $154M
      Mar 21, 2016 to Jan 17, 2017
    • RAUM · $140M to $154M
      Mar 21, 2016 to Jan 17, 2017
    • Accounts · 263 to 260
      Jun 3, 2015 to Mar 21, 2016
    • Assets in custody · $7.5M to $11.0M
      Jun 3, 2015 to Mar 21, 2016
    • Discretionary RAUM · $143M to $140M
      Jun 3, 2015 to Mar 21, 2016
    • Non-discretionary RAUM · $123,367 to $0
      Jun 3, 2015 to Mar 21, 2016
    • RAUM · $143M to $140M
      Jun 3, 2015 to Mar 21, 2016
    • Accounts · 245 to 263
      Apr 17, 2015 to Jun 3, 2015
    • Discretionary RAUM · $136M to $143M
      Apr 17, 2015 to Jun 3, 2015
    • Non-discretionary RAUM · $123,365 to $123,367
      Apr 17, 2015 to Jun 3, 2015
    • RAUM · $136M to $143M
      Apr 17, 2015 to Jun 3, 2015
    • Accounts · 228 to 245
      Dec 23, 2014 to Mar 12, 2015
    • Assets in custody · $7.3M to $7.5M
      Dec 23, 2014 to Mar 12, 2015
    • Discretionary RAUM · $126M to $136M
      Dec 23, 2014 to Mar 12, 2015
    • Non-discretionary RAUM · $118,568 to $123,365
      Dec 23, 2014 to Mar 12, 2015
    • RAUM · $126M to $136M
      Dec 23, 2014 to Mar 12, 2015
    • Accounts · 209 to 228
      Apr 18, 2013 to Mar 24, 2014
    Signals
    1 dated events
    • P••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)
      Apr 18, 2013 · First SEC registration · 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