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

V•••• F•••••••• A•••••••• L••

Former SEC-registered adviserRichardson, TexasCRD 114219SEC 801-63219IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 8, 2012 · 7 filings
RAUM
$413M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$398M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$413M as of Mar 29, 2018
Mar 8, 2012$158M then
HNW client RAUM: $321M
State-registered IARs (5.B.3)3 as of Mar 29, 2018
Mar 1, 20134 then
Employees (5.A)3 as of Mar 29, 2018
Mar 1, 20134 then
Private funds: no history
RAUM +32% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$138MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+32%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
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$110M, 86 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$321M78%
  • Individuals$76.6M19%
  • Pension and profit-sharing plans$15.7M3.8%
Individual clients
160reported
HNW clients
84reported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
259reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$110M for 86 clientsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• M••••••• W•••• · President & Chief Compliance Officercontrol
      since 05/2000 · 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 · 275 to 259
      Mar 20, 2017 to Mar 29, 2018
    • HNW clients · unset to 84.0
      Mar 20, 2017 to Mar 29, 2018
    • Individual clients · unset to 160.0
      Mar 20, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 15.0
      Mar 20, 2017 to Mar 29, 2018
    • Assets in custody · unset to 109574956.0
      Mar 20, 2017 to Mar 29, 2018
    • Custody of client assets · false to true
      Mar 20, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 20, 2017 to Mar 29, 2018
    • Discretionary RAUM · $313M to $413M
      Mar 20, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 321079937.0
      Mar 20, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 76632701.0
      Mar 20, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 15699279.0
      Mar 20, 2017 to Mar 29, 2018
    • RAUM · $313M to $413M
      Mar 20, 2017 to Mar 29, 2018
    • Accounts · 225 to 275
      Mar 1, 2016 to Mar 20, 2017
    • HQ city · DALLAS to RICHARDSON
      Mar 1, 2016 to Mar 20, 2017
    • Discretionary RAUM · $283M to $313M
      Mar 1, 2016 to Mar 20, 2017
    • RAUM · $283M to $313M
      Mar 1, 2016 to Mar 20, 2017
    • Related insurance company · true to false
      Mar 1, 2016 to Mar 20, 2017
    • Advisory employees · 4 to 3
      Mar 16, 2015 to Mar 1, 2016
    • Employees · 4 to 3
      Mar 16, 2015 to Mar 1, 2016
    • State-registered IARs · 4 to 3
      Mar 16, 2015 to Mar 1, 2016
    • Discretionary RAUM · $278M to $283M
      Mar 16, 2015 to Mar 1, 2016
    • RAUM · $278M to $283M
      Mar 16, 2015 to Mar 1, 2016
    • Accounts · 200 to 225
      Feb 20, 2014 to Mar 16, 2015
    • Discretionary RAUM · $251M to $278M
      Feb 20, 2014 to Mar 16, 2015
    • RAUM · $251M to $278M
      Feb 20, 2014 to Mar 16, 2015
    • Accounts · 175 to 200
      Mar 1, 2013 to Feb 20, 2014
    • Discretionary RAUM · $201M to $251M
      Mar 1, 2013 to Feb 20, 2014
    • RAUM · $201M to $251M
      Mar 1, 2013 to Feb 20, 2014
    • Accounts · 165 to 175
      Mar 8, 2012 to Mar 1, 2013
    • Advisory employees · unset to 4.0
      Mar 8, 2012 to Mar 1, 2013
    • BD registered reps · unset to 3.0
      Mar 8, 2012 to Mar 1, 2013
    • Employees · unset to 4.0
      Mar 8, 2012 to Mar 1, 2013
    • State-registered IARs · unset to 4.0
      Mar 8, 2012 to Mar 1, 2013
    • Discretionary RAUM · $158M to $201M
      Mar 8, 2012 to Mar 1, 2013
    • RAUM · $158M to $201M
      Mar 8, 2012 to Mar 1, 2013
    Signals
    1 dated events
    • V•••• F•••••••• A•••••••• L•• reported RAUM $413.4M, up 32% from $313.2M (2017-03-20 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    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