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
R•••••••• A••••••• S•••••••• L•••
Latest filing Mar 23, 2021
First filing on the tape May 3, 2018 · 8 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$187M as of Mar 23, 2021
Mar 30, 2019$157M then
HNW client RAUM$109M as of Mar 23, 2021
Mar 30, 2019$51.2M then
State-registered IARs (5.B.3)5 as of Mar 23, 2021
Mar 30, 20196 then
Employees (5.A)5 as of Mar 23, 2021
Mar 30, 201911 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 23, 2021; every figure names its basis
- RAUM per advisor
- $37.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $514,153derivedRAUM 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
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $187MreportedItem 5.I
- Custody
- $384,535, 2 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$109M58%
- Individuals$78.0M42%
- Individual clients
- 277reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 363reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $384,535 for 2 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
- C••• B•••• B••••• to B••••• P••••• A•••••••• L••Feb 16, 2022 · RIA to RIA
- A•• L••• H•••••• to L•• F•••••••• L••Feb 16, 2022 · RIA to RIA
- S•••••• B•••• L••••••• to L•• F•••••••• L••Feb 16, 2022 · RIA to RIA
- A••••• R•••• R•••••••• to L•• F•••••••• L••Feb 16, 2022 · RIA to RIA
- W•••••• B••• R•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 16, 2022 · Other
- C•••••• M•••••• A••••• to L•• F•••••••• L••May 17, 2019 · RIA to RIA
- S•••• C••••••••• R•••••• to P••• A••••• S••••••••• L••Mar 18, 2015 · Other
- J•••••• C•••••••• to U••• F•••••••• P••••••• S•••••••Mar 30, 2011 · RIA to a newly registered adviser
- A••••• R•••• R•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 13, 2010 · Other
- L•••• D••• J•••••• to L•• F•••••••• L••Sep 4, 2009 · Other
- B•••• W••••• A•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 14, 2008 · Other
- S•••••• L••• P•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 14, 2008 · Other
- A•• L••• H•••••• to L•• F•••••••• L••Sep 19, 2007 · Other
Joined, latest
- C••• B•••• B••••• from L•• F•••••••• L••Jan 26, 2018 · RIA to RIA
- C•••••• M•••••• A••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 11, 2017 · Other
- A•• L••• H•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 18, 2016 · Other
- S•••••• B•••• L••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 24, 2015 · Other
- A••••• R•••• R•••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 24, 2015 · Other
- L•••• D••• J•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 9, 2009 · Other
- A••••• R•••• R•••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 9, 2009 · Other
- J•••••• C•••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 9, 2009 · Other
- S•••• C••••••••• R•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 9, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Feb 16, 2022 · Fort Worth, Tx
- 3 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 29, 2017 · Irving, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• W••••••• B••• · Limited Partner, Chief Compliance Officercontrolsince 01/2005 · owns less than 5%
- R••••••••• W••••••• B••• · Ownercontrolsince 01/2005 · owns 75% or more of R•••••••• M••••••••• S•••••••• L••
Entity owners
- R•••••••• M••••••••• S•••••••• L•• · General Partnerdirect · owns less than 5%
- T•• W•••••• B••• R•••••••• L••••• T•••• U•••• D••••••• 3• 2••• ••••••• B••• R••••••••• T••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX3 employees
What changed
consecutive filings, newest first
- Accounts · 368 to 363Sep 16, 2020 to Mar 23, 2021
- Advisory activities · 3 to 2Sep 16, 2020 to Mar 23, 2021
- HNW clients · 93 to 86Sep 16, 2020 to Mar 23, 2021
- Individual clients · 275 to 277Sep 16, 2020 to Mar 23, 2021
- Assets in custody · $419,251 to $384,535Sep 16, 2020 to Mar 23, 2021
- Financial planning clients · 0 to unsetSep 16, 2020 to Mar 23, 2021
- Discretionary RAUM · $166M to $187MSep 16, 2020 to Mar 23, 2021
- HNW RAUM · $96.0M to $109MSep 16, 2020 to Mar 23, 2021
- Individual RAUM · $70.4M to $78.0MSep 16, 2020 to Mar 23, 2021
- RAUM · $166M to $187MSep 16, 2020 to Mar 23, 2021
- Accounts · 460 to 368Mar 30, 2019 to Mar 19, 2020
- Advisory employees · 6 to 5Mar 30, 2019 to Mar 19, 2020
- Advisory activities · 4 to 3Mar 30, 2019 to Mar 19, 2020
- BD registered reps · 6 to 5Mar 30, 2019 to Mar 19, 2020
- HNW clients · 36 to 93Mar 30, 2019 to Mar 19, 2020
- Individual clients · 292 to 275Mar 30, 2019 to Mar 19, 2020
- Assets in custody · unset to 419251.0Mar 30, 2019 to Mar 19, 2020
- Custody of client assets · false to trueMar 30, 2019 to Mar 19, 2020
- Employees · 11 to 5Mar 30, 2019 to Mar 19, 2020
- State-registered IARs · 6 to 5Mar 30, 2019 to Mar 19, 2020
- Other offices · 2 to 1Mar 30, 2019 to Mar 19, 2020
- Discretionary RAUM · $157M to $166MMar 30, 2019 to Mar 19, 2020
- HNW RAUM · $51.2M to $96.0MMar 30, 2019 to Mar 19, 2020
- Individual RAUM · $105M to $70.4MMar 30, 2019 to Mar 19, 2020
- RAUM · $157M to $166MMar 30, 2019 to Mar 19, 2020
- Accounts · 400 to 460May 3, 2018 to Mar 30, 2019
- Advisory activities · 3 to 4May 3, 2018 to Mar 30, 2019
- HNW clients · 29 to 36May 3, 2018 to Mar 30, 2019
- Individual clients · 262 to 292May 3, 2018 to Mar 30, 2019
- Employees · 6 to 11May 3, 2018 to Mar 30, 2019
- Insurance-licensed employees · 6 to 0May 3, 2018 to Mar 30, 2019
- Financial planning clients · unset to 0May 3, 2018 to Mar 30, 2019
- Discretionary RAUM · $141M to $157MMay 3, 2018 to Mar 30, 2019
- HNW RAUM · $46.1M to $51.2MMay 3, 2018 to Mar 30, 2019
- Individual RAUM · $95.1M to $105MMay 3, 2018 to Mar 30, 2019
- RAUM · $141M to $157MMay 3, 2018 to Mar 30, 2019
Signals
7 dated events
- W•••••• B••• R•••••••• left R•••••••• A••••••• S•••••••• L••• for N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• (registered 2007-12-10)Feb 16, 2022 · Advisor changed firm · fact
- A•• L••• H•••••• left R•••••••• A••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2017-11-29)Feb 16, 2022 · Advisor changed firm · fact
- C••• B•••• B••••• left R•••••••• A••••••• S•••••••• L••• for B••••• P••••• A•••••••• L•• (registered 2021-10-11)Feb 16, 2022 · Advisor changed firm · fact
- S•••••• B•••• L••••••• left R•••••••• A••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2017-11-29)Feb 16, 2022 · Advisor changed firm · fact
- 2 advisors left R•••••••• A••••••• S•••••••• L••• (Fort Worth, TX) for L•• F•••••••• L•• on the same dayFeb 16, 2022 · Team lift-out · derived
- A••••• R•••• R•••••••• left R•••••••• A••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2017-11-29)Feb 16, 2022 · Advisor changed firm · fact
- R•••••••• A••••••• S•••••••• L••• filed its initial SEC registration (Form ADV)May 3, 2018 · 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