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

G•••••• M••••••••• P•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 116866SEC 801-65268IAPD
Latest filing Feb 23, 2012
First filing on the tape Jan 18, 2012 · 2 filings
RAUM
$16.2M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$16.2M gross assets
History
2 filings and snapshots on the tape
RAUM$16.2M as of Feb 23, 2012
Jan 18, 2012$16.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2012
Jan 18, 20120 then
Employees (5.A): no history
Private funds2 as of Feb 23, 2012
Jan 18, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 23, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$8.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    E•• C•••••• P•••••••• L•••Hedge Fund$9.9M12Jan 18, 2012
    G•••••• M••••• F•••• L•••Other Private Fund$6.3M95Jan 18, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • L•••• I•• E••••• B••••••• · Manager Of The General Partner & Chief Compliance Officercontrol
      since 01/2004 · owns 75% or more
    • L•••• I•• E••••• B••••••• · Membercontrol
      since 01/2004 · owns F of G•••••• A•••••••• L•••••
    • L•••• I••• E••••• B••••••• · Limited Partner
      since 01/2010 · owns 10% to 25%
    • L•••• L••• N•••• · Limited Partner
      since 01/2004 · owns less than 5%
    Entity owners
    • G•••••• A•••••••• L••••• · General Partner
      direct · 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
    • Organization form · Partnership to Limited Partnership
      Jan 18, 2012 to Feb 23, 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