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••••• • J•••• W••••• M•••••••••

Former SEC-registered adviserHouston, TexasCRD 116597SEC 801-61767IAPD
Legal name T•• R••••• G••••• L•••
Latest filing Mar 29, 2019
First filing on the tape Dec 20, 2011 · 19 filings
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$176M as of Mar 29, 2019
Mar 30, 2012$130M then
HNW client RAUM$103M as of Mar 29, 2019
Mar 30, 2018$98.1M then
State-registered IARs (5.B.3)5 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)8 as of Mar 29, 2019
Apr 1, 20136 then
Private funds: no history
RAUM -1.1% over the last fiscal year+3.1% a year over threeIARs 2 to 5
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$35.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$282,172derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.1%derivedbetween the last two annual amendments
Advisor growth, one year
+150%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$11.2M, 24 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • 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$103M59%
  • Individuals$72.5M41%
Individual clients
236reported
HNW clients
66reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
622reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$11.2M for 24 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
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
    • R•••••• M•••• L•• · Investment Adviser Representative, Limited Partner, Chief Compliance Officer (10/2004)control
      since 08/2000 · owns 50% to 75%
    • R•••••• M•••• L•• · Presidentcontrol
      since 08/2000 · owns 50% to 75% of R••••• A•••• M••••••••• I•••
    • J••••• J•••• L•••• · Investment Adviser Representative, Limited Partner
      since 08/2000 · owns 10% to 25%
    • J••••• J•••• L•••• · Owner
      since 08/2000 · owns F of R••••• A•••• M••••••••• I•••
    Entity owners
    • R••••• A•••• M••••••••• I••• · Managing General Partner
      direct · owns 10% to 25%
    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 · 580 to 622
      Aug 23, 2018 to Mar 29, 2019
    • Business name · R••••• • J•••• A•••• M••••••• to R••••• • J•••• W••••• M•••••••••
      Aug 23, 2018 to Mar 29, 2019
    • HNW clients · 54 to 66
      Aug 23, 2018 to Mar 29, 2019
    • Individual clients · 240 to 236
      Aug 23, 2018 to Mar 29, 2019
    • Assets in custody · $10.4M to $11.2M
      Aug 23, 2018 to Mar 29, 2019
    • Financial planning clients · 101-250 to 251-500
      Aug 23, 2018 to Mar 29, 2019
    • Discretionary RAUM · $177M to $176M
      Aug 23, 2018 to Mar 29, 2019
    • HNW RAUM · $98.1M to $103M
      Aug 23, 2018 to Mar 29, 2019
    • Individual RAUM · $79.3M to $72.5M
      Aug 23, 2018 to Mar 29, 2019
    • RAUM · $177M to $176M
      Aug 23, 2018 to Mar 29, 2019
    • HQ city · SPRING to HOUSTON
      Mar 30, 2018 to Aug 23, 2018
    • State-registered IARs · 2 to 5
      Mar 30, 2018 to Aug 23, 2018
    • Accounts · 400 to 580
      Sep 29, 2017 to Mar 30, 2018
    • Advisory activities · 3 to 4
      Sep 29, 2017 to Mar 30, 2018
    • Charity clients · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Corporate clients · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • HNW clients · unset to 54.0
      Sep 29, 2017 to Mar 30, 2018
    • Individual clients · unset to 240.0
      Sep 29, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Assets in custody · unset to 10354807.0
      Sep 29, 2017 to Mar 30, 2018
    • Custody of client assets · false to true
      Sep 29, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Discretionary RAUM · $160M to $177M
      Sep 29, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 98128198.0
      Sep 29, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 79305236.0
      Sep 29, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • RAUM · $160M to $177M
      Sep 29, 2017 to Mar 30, 2018
    • HQ city · HOUSTON to SPRING
      Mar 30, 2017 to Sep 29, 2017
    • Accounts · 600 to 400
      Nov 30, 2016 to Mar 30, 2017
    • Advisory employees · 4 to 5
      Nov 30, 2016 to Mar 30, 2017
    • BD registered reps · 5 to 6
      Nov 30, 2016 to Mar 30, 2017
    • Employees · 7 to 8
      Nov 30, 2016 to Mar 30, 2017
    • Advisory employees · 3 to 4
      Mar 24, 2015 to Mar 30, 2016
    • BD registered reps · 3 to 5
      Mar 24, 2015 to Mar 30, 2016
    • Financial planning clients · 251-500 to 101-250
      Mar 24, 2015 to Mar 30, 2016
    • State-registered IARs · 3 to 2
      Mar 24, 2015 to Mar 30, 2016
    • Accounts · 2,400 to 600
      Sep 12, 2014 to Mar 24, 2015
    • Financial planning clients · unset to 251-500
      Sep 12, 2014 to Mar 24, 2015
    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