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

B•••••• F••••••••• I•••

Former SEC-registered adviserAustin, TexasCRD 114414SEC 801-66555IAPD
Latest filing Mar 23, 2020
First filing on the tape Mar 8, 2012 · 20 filings
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
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$193M as of Mar 23, 2020
Mar 8, 2012$91.0M then
HNW client RAUM$183M as of Mar 23, 2020
Mar 13, 2018$152M then
State-registered IARs (5.B.3)3 as of Mar 23, 2020
Mar 8, 20120 then
Employees (5.A)3 as of Mar 23, 2020
Apr 1, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2020; every figure names its basis
RAUM per advisor
$64.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$424,557derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.0%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$92.0M, 57 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$183M95%
  • Individuals$10.1M5.2%
Individual clients
29reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
455reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$92.0M for 57 clientsreported
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
    • L•••• C••••••••• · Chief Compliance Officercontrol
      since 07/2012 · owns 25% to 50%
    • L•••• L••••• B•••••• · Presidentcontrol
      since 01/1999 · 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 · 495 to 455
      Nov 5, 2019 to Mar 23, 2020
    • HNW clients · 46 to 49
      Nov 5, 2019 to Mar 23, 2020
    • Assets in custody · $41.8M to $92.0M
      Nov 5, 2019 to Mar 23, 2020
    • Discretionary RAUM · $169M to $193M
      Nov 5, 2019 to Mar 23, 2020
    • HNW RAUM · $160M to $183M
      Nov 5, 2019 to Mar 23, 2020
    • Individual RAUM · $9.6M to $10.1M
      Nov 5, 2019 to Mar 23, 2020
    • RAUM · $169M to $193M
      Nov 5, 2019 to Mar 23, 2020
    • Assets in custody · $81.0M to $41.8M
      Mar 13, 2019 to Oct 30, 2019
    • Accounts · 442 to 495
      Mar 13, 2018 to Mar 13, 2019
    • HNW clients · 43 to 46
      Mar 13, 2018 to Mar 13, 2019
    • Individual clients · 27 to 29
      Mar 13, 2018 to Mar 13, 2019
    • Assets in custody · $22.5M to $81.0M
      Mar 13, 2018 to Mar 13, 2019
    • Discretionary RAUM · $151M to $169M
      Mar 13, 2018 to Mar 13, 2019
    • HNW RAUM · $152M to $160M
      Mar 13, 2018 to Mar 13, 2019
    • Individual RAUM · $9.8M to $9.6M
      Mar 13, 2018 to Mar 13, 2019
    • Non-discretionary RAUM · $11.1M to $0
      Mar 13, 2018 to Mar 13, 2019
    • RAUM · $162M to $169M
      Mar 13, 2018 to Mar 13, 2019
    • Accounts · 424 to 442
      Aug 4, 2017 to Mar 13, 2018
    • HNW clients · unset to 43.0
      Aug 4, 2017 to Mar 13, 2018
    • Individual clients · unset to 27.0
      Aug 4, 2017 to Mar 13, 2018
    • Assets in custody · unset to 22513527.0
      Aug 4, 2017 to Mar 13, 2018
    • Custody of client assets · false to true
      Aug 4, 2017 to Mar 13, 2018
    • State-registered IARs · 2 to 3
      Aug 4, 2017 to Mar 13, 2018
    • Other offices · unset to 0.0
      Aug 4, 2017 to Mar 13, 2018
    • Discretionary RAUM · $137M to $151M
      Aug 4, 2017 to Mar 13, 2018
    • HNW RAUM · unset to 152193345.0
      Aug 4, 2017 to Mar 13, 2018
    • Individual RAUM · unset to 9770738.0
      Aug 4, 2017 to Mar 13, 2018
    • Non-discretionary RAUM · $5.5M to $11.1M
      Aug 4, 2017 to Mar 13, 2018
    • RAUM · $142M to $162M
      Aug 4, 2017 to Mar 13, 2018
    • Accounts · 412 to 424
      Sep 15, 2016 to Jan 26, 2017
    • Advisory employees · 1 to 2
      Sep 15, 2016 to Jan 26, 2017
    • Employees · 2 to 3
      Sep 15, 2016 to Jan 26, 2017
    • Discretionary RAUM · $124M to $137M
      Sep 15, 2016 to Jan 26, 2017
    • Non-discretionary RAUM · $4.9M to $5.5M
      Sep 15, 2016 to Jan 26, 2017
    • RAUM · $129M to $142M
      Sep 15, 2016 to Jan 26, 2017
    • Accounts · 374 to 412
      Sep 24, 2015 to Feb 12, 2016
    • State-registered IARs · 1 to 2
      Sep 24, 2015 to Feb 12, 2016
    • Discretionary RAUM · $109M to $124M
      Sep 24, 2015 to Feb 12, 2016
    • Non-discretionary RAUM · $5.5M to $4.9M
      Sep 24, 2015 to Feb 12, 2016
    • RAUM · $115M to $129M
      Sep 24, 2015 to Feb 12, 2016
    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