DFX Intelligence

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R•••••••• O••••••••• C••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private fundsUmbrella registration· Dallas, Texaswebsite

Asset manager (funds and pooled vehicles), based in Dallas, Texas, reporting $359M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $359M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +15%
Private clients: 0.0% of RAUM

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 118484 · SEC 801-65108 · 18 filingsShow

CRD 118484SEC 801-65108First filing on the tape Mar 30, 2012, latest Mar 31, 2026SEC status approved since Jan 13, 2006IAPD

RAUM

$359M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$120M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$359M as of Mar 31, 2026

Mar 30, 2012$162M then

HNW client RAUM$537,399 as of Mar 29, 2023

Mar 28, 2018$487,787 then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 28, 20130 then

Employees (5.A)6 as of Mar 31, 2026

Mar 28, 20134 then

Private funds2 as of Mar 31, 2026

Mar 30, 20123 then

RAUM +15% over the last fiscal year+17% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

RAUM per advisor: $120MderivedRAUM 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: $179MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween 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: $359M, 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)
has discretionary authority over which securities are bought or sold (8.C.1)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$359M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $359M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• B•••• R••••••••	Addison, Tx	Jan 28, 2003	33 y	1
B•••• C•••••••• N••••••Chartered Financial Analyst		Feb 27, 2003	31 y	1
J••••••• A••••• R•••••••	Dallas, Tx	Apr 25, 2016	43 y	2

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

J••••••• A••••• R••••••• from D••••• H••• G•••••• I•••
Apr 25, 2016 · Other

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••••••• O••••••••• F•••• L•••	Hedge Fund	$359M	78	Mar 30, 2012
R•••••••• O••••••••• M•••••• L•••	Hedge Fund	$12.6M	4	Mar 30, 2012
R•••••••• O••••••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$3.7M	0	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

D••••• A•••••• · Chief Compliance Officercontrol
since 03/2017 · owns less than 5%
R••••••••• J••••• B•••• · Presidentcontrol
since 02/1995 · owns 75% or more

Related persons

Schedule D 7.A

R•••••••• O••••••••• C•••••• P•••••••• L•••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Dallas, Tx · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $0 to $359M
Mar 28, 2025 to Mar 31, 2026
Discretionary RAUM · $313M to $359M
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $313M to $359M
Mar 28, 2025 to Mar 31, 2026
RAUM · $313M to $359M
Mar 28, 2025 to Mar 31, 2026
Advisory employees · 3 to 5
Mar 27, 2024 to Mar 28, 2025
Employees · 4 to 6
Mar 27, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 28, 2025
Discretionary RAUM · $301M to $313M
Mar 27, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $301M to $313M
Mar 27, 2024 to Mar 28, 2025
RAUM · $301M to $313M
Mar 27, 2024 to Mar 28, 2025
Accounts · 3 to 2
Mar 29, 2023 to Mar 27, 2024
Advisory activities · 2 to 1
Mar 29, 2023 to Mar 27, 2024
Discretionary RAUM · $224M to $301M
Mar 29, 2023 to Mar 27, 2024
HNW RAUM · 537399.0 to unset
Mar 29, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $224M to $301M
Mar 29, 2023 to Mar 27, 2024
RAUM · $224M to $301M
Mar 29, 2023 to Mar 27, 2024
Advisory employees · 4 to 3
Mar 30, 2022 to Mar 29, 2023
Employees · 5 to 4
Mar 30, 2022 to Mar 29, 2023
Discretionary RAUM · $274M to $224M
Mar 30, 2022 to Mar 29, 2023
HNW RAUM · $425,209 to $537,399
Mar 30, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $274M to $224M
Mar 30, 2022 to Mar 29, 2023
RAUM · $274M to $224M
Mar 30, 2022 to Mar 29, 2023
Discretionary RAUM · $281M to $274M
Mar 30, 2021 to Mar 30, 2022
HNW RAUM · $364,784 to $425,209
Mar 30, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $281M to $274M
Mar 30, 2021 to Mar 30, 2022
RAUM · $281M to $274M
Mar 30, 2021 to Mar 30, 2022
Employees · 6 to 5
Jun 30, 2020 to Mar 30, 2021
Discretionary RAUM · $249M to $281M
Jun 30, 2020 to Mar 30, 2021
HNW RAUM · $431,301 to $364,784
Jun 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $249M to $281M
Jun 30, 2020 to Mar 30, 2021
RAUM · $249M to $281M
Jun 30, 2020 to Mar 30, 2021
Discretionary RAUM · $182M to $249M
Mar 20, 2019 to Mar 26, 2020
HNW RAUM · $432,323 to $431,301
Mar 20, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $181M to $249M
Mar 20, 2019 to Mar 26, 2020
RAUM · $182M to $249M
Mar 20, 2019 to Mar 26, 2020
Employees · 5 to 6
Mar 28, 2018 to Mar 20, 2019
Discretionary RAUM · $215M to $182M
Mar 28, 2018 to Mar 20, 2019
HNW RAUM · $487,787 to $432,323
Mar 28, 2018 to Mar 20, 2019
Pooled vehicle RAUM · $215M to $181M
Mar 28, 2018 to Mar 20, 2019
RAUM · $215M to $182M
Mar 28, 2018 to Mar 20, 2019

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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: $120Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026