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

C••••• A•••• M••••••••• I•••

Former SEC-registered adviserAbilene, TexasCRD 116480SEC 801-60724IAPD
Latest filing Mar 28, 2018
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$274M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
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$290M as of Mar 28, 2018
Mar 30, 2012$157M then
HNW client RAUM: $154M
State-registered IARs (5.B.3)3 as of Mar 28, 2018
Mar 30, 20120 then
Employees (5.A)8 as of Mar 28, 2018
Apr 1, 20137 then
Private funds: no history
RAUM +14% over the last fiscal year+7.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
$96.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
165derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$579,489derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 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
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$154M53%
  • Individuals$120M41%
  • Charitable organizations$14.9M5.1%
  • Corporations and businesses$861,6870.3%
Individual clients
407reported
HNW clients
87reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
500reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • C•••••• D••••• L••••• · President/Chief Compliance Officercontrol
      since 02/1997 · owns 75% or more
    Related persons
    Schedule D 7.A
    • C••••• • B••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 483 to 500
      Mar 31, 2017 to Mar 28, 2018
    • Charity clients · unset to 3.0
      Mar 31, 2017 to Mar 28, 2018
    • Corporate clients · unset to 3.0
      Mar 31, 2017 to Mar 28, 2018
    • HNW clients · unset to 87.0
      Mar 31, 2017 to Mar 28, 2018
    • Individual clients · unset to 407.0
      Mar 31, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Mar 28, 2018
    • Discretionary RAUM · $255M to $290M
      Mar 31, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 154304950.0
      Mar 31, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 119707341.0
      Mar 31, 2017 to Mar 28, 2018
    • RAUM · $255M to $290M
      Mar 31, 2017 to Mar 28, 2018
    • Accounts · 465 to 483
      Mar 28, 2016 to Mar 31, 2017
    • Financial planning clients · 101-250 to 251-500
      Mar 28, 2016 to Mar 31, 2017
    • Discretionary RAUM · $229M to $255M
      Mar 28, 2016 to Mar 31, 2017
    • RAUM · $229M to $255M
      Mar 28, 2016 to Mar 31, 2017
    • Accounts · 454 to 465
      Mar 25, 2015 to Mar 28, 2016
    • Discretionary RAUM · $234M to $229M
      Mar 25, 2015 to Mar 28, 2016
    • RAUM · $234M to $229M
      Mar 25, 2015 to Mar 28, 2016
    • Accounts · 431 to 454
      Mar 31, 2014 to Mar 25, 2015
    • Advisory employees · 2 to 3
      Mar 31, 2014 to Mar 25, 2015
    • Employees · 7 to 8
      Mar 31, 2014 to Mar 25, 2015
    • Discretionary RAUM · $218M to $234M
      Mar 31, 2014 to Mar 25, 2015
    • RAUM · $218M to $234M
      Mar 31, 2014 to Mar 25, 2015
    • Accounts · 393 to 431
      Apr 1, 2013 to Mar 31, 2014
    • Discretionary RAUM · $180M to $218M
      Apr 1, 2013 to Mar 31, 2014
    • RAUM · $180M to $218M
      Apr 1, 2013 to Mar 31, 2014
    • Accounts · 388 to 393
      Mar 30, 2012 to Apr 1, 2013
    • Advisory employees · unset to 2.0
      Mar 30, 2012 to Apr 1, 2013
    • Employees · unset to 7.0
      Mar 30, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 3
      Mar 30, 2012 to Apr 1, 2013
    • Discretionary RAUM · $157M to $180M
      Mar 30, 2012 to Apr 1, 2013
    • RAUM · $157M to $180M
      Mar 30, 2012 to Apr 1, 2013
    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