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••••••• I••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 114924SEC 801-70382IAPD
Latest filing Oct 31, 2012
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$75.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$8.5M gross assets
History
6 filings and snapshots on the tape
RAUM$75.2M as of Oct 31, 2012
Mar 26, 2012$75.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 4
Employees (5.A): 10
Private funds1 as of Oct 31, 2012
Mar 26, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 31, 2012; every figure names its basis
RAUM per advisor
$18.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$292,644derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$9.0M, 1 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
257reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$9.0M for 1 clientsreported
Compensation
% of AUM, performancereported
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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••••• C•••••• P••••••• L•Hedge Fund$8.5M41Mar 26, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B•••• J•••• P••• · Managercontrol
      since 10/1998 · owns 75% or more
    • S••••••••• M••••••• A••••• · Chief Compliance Officercontrol
      since 09/2011 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · unset to 4.0
      Oct 17, 2012 to Oct 31, 2012
    • BD registered reps · unset to 4.0
      Oct 17, 2012 to Oct 31, 2012
    • Business name · P••••••• A•••• M••••••••• to P••••••• I••••••••• L••
      Oct 17, 2012 to Oct 31, 2012
    • Employees · unset to 10.0
      Oct 17, 2012 to Oct 31, 2012
    • State-registered IARs · unset to 4.0
      Oct 17, 2012 to Oct 31, 2012
    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