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

D•••• M• L••• P•••

Former SEC-registered adviserCRD 114475SEC 801-68995IAPD
Latest filing Sep 17, 2020
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$12.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$12.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$22.3M as of Mar 31, 2020
Mar 30, 2012$278M then
HNW client RAUM$351M as of Feb 13, 2019
Mar 26, 2018$354M then
State-registered IARs (5.B.3)1 as of Mar 31, 2020
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2020
Feb 7, 20131 then
Private funds: no history
RAUM -97% over the last fiscal year-68% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 17, 2020; every figure names its basis
RAUM per advisor
$12.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.2MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-94%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$401M, 53 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$12.5M99%
  • Individuals$105,4540.8%
Individual clients
2reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$401M for 53 clientsreported
Compensation
% of AUM, fixed, 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••• D••••• M•••••• · President And Chief Compliance Officercontrol
      since 01/1990 · 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 · 56 to 5
      Mar 31, 2020 to Aug 6, 2020
    • HNW clients · unset to 3.0
      Mar 31, 2020 to Aug 6, 2020
    • Individual clients · 25 to 2
      Mar 31, 2020 to Aug 6, 2020
    • Employees · 2 to 1
      Mar 31, 2020 to Aug 6, 2020
    • Financial planning clients · 26-50 to 1-10
      Mar 31, 2020 to Aug 6, 2020
    • HNW RAUM · unset to 12512546.0
      Mar 31, 2020 to Aug 6, 2020
    • Individual RAUM · $22.3M to $105,454
      Mar 31, 2020 to Aug 6, 2020
    • Non-discretionary RAUM · $22.3M to $12.6M
      Mar 31, 2020 to Aug 6, 2020
    • RAUM · $22.3M to $12.6M
      Mar 31, 2020 to Aug 6, 2020
    • Advisory activities · 5 to 3
      Aug 6, 2020 to Aug 6, 2020
    • Accounts · 245 to 56
      Jan 13, 2020 to Mar 31, 2020
    • Charity clients · 3.0 to unset
      Jan 13, 2020 to Mar 31, 2020
    • HNW clients · 18.0 to unset
      Jan 13, 2020 to Mar 31, 2020
    • Individual clients · 30 to 25
      Jan 13, 2020 to Mar 31, 2020
    • Pension plan clients · 2.0 to unset
      Jan 13, 2020 to Mar 31, 2020
    • HNW RAUM · 350627905.0 to unset
      Jan 13, 2020 to Mar 31, 2020
    • Individual RAUM · $10.3M to $22.3M
      Jan 13, 2020 to Mar 31, 2020
    • Non-discretionary RAUM · $398M to $22.3M
      Jan 13, 2020 to Mar 31, 2020
    • Pension RAUM · 4147547.0 to unset
      Jan 13, 2020 to Mar 31, 2020
    • RAUM · $398M to $22.3M
      Jan 13, 2020 to Mar 31, 2020
    • HQ city · HOUSTON to unset
      Feb 13, 2019 to Jan 13, 2020
    • HQ state · TX to unset
      Feb 13, 2019 to Jan 13, 2020
    • Accounts · 239 to 245
      Mar 26, 2018 to Feb 13, 2019
    • HNW clients · 21 to 18
      Mar 26, 2018 to Feb 13, 2019
    • Individual clients · 26 to 30
      Mar 26, 2018 to Feb 13, 2019
    • Pension plan clients · 4 to 2
      Mar 26, 2018 to Feb 13, 2019
    • HNW RAUM · $354M to $351M
      Mar 26, 2018 to Feb 13, 2019
    • Individual RAUM · $9.4M to $10.3M
      Mar 26, 2018 to Feb 13, 2019
    • Non-discretionary RAUM · $405M to $398M
      Mar 26, 2018 to Feb 13, 2019
    • Pension RAUM · $6.9M to $4.1M
      Mar 26, 2018 to Feb 13, 2019
    • RAUM · $405M to $398M
      Mar 26, 2018 to Feb 13, 2019
    • Accounts · 56 to 239
      Mar 23, 2017 to Mar 26, 2018
    • Charity clients · unset to 3.0
      Mar 23, 2017 to Mar 26, 2018
    • HNW clients · unset to 21.0
      Mar 23, 2017 to Mar 26, 2018
    • Individual clients · unset to 26.0
      Mar 23, 2017 to Mar 26, 2018
    • Pension plan clients · unset to 4.0
      Mar 23, 2017 to Mar 26, 2018
    • Assets in custody · unset to 400708626.0
      Mar 23, 2017 to Mar 26, 2018
    • Custody of client assets · false to true
      Mar 23, 2017 to Mar 26, 2018
    • Other offices · unset to 0.0
      Mar 23, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 354029602.0
      Mar 23, 2017 to Mar 26, 2018
    Signals
    1 dated events
    • D•••• M• L••• P••• reported RAUM $22.3M, down 94% from $397.7M (2020-01-13 to 2020-03-31)
      Mar 31, 2020 · 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