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••••• A•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 118877SEC 801-66066IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$21.2M
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
12
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.2M gross assets
History
13 filings and snapshots on the tape
RAUM$21.2M as of Mar 31, 2021
Mar 30, 2012$192M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)12 as of Mar 31, 2021
Apr 4, 20139 then
Private funds1 as of Mar 31, 2021
Mar 30, 20123 then
RAUM +21% over the last fiscal year+1.7% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$21.2MderivedRAUM 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
+21%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 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 vehicles, selection of other advisersreportedItem 5.G
Custody
$21.2M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$21.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$21.2M 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    R••••• M••••••••• M••••• F•••• L•••no longer reportedHedge Fund$24.9M15Mar 30, 2012
    R••••• M••••••••• F•••• L••Hedge Fund$21.2M2Mar 30, 2016
    L••••••••• O••••••••• F•••• L••no longer reportedHedge Fund$9.1M1Mar 30, 2012
    R••••• M••••••••• I••• L•••••no longer reportedHedge Fund$4.0M1Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• K••••••• S•••• · Portfolio Managercontrol
      since 04/2020 · owns less than 5%
    • H•••••• N•••••• J•••• · General Counselcontrol
      since 08/2007 · owns less than 5%
    • M•••••••• W•••••• C••••••• · Chief Compliance Officercontrol
      since 01/2021 · owns less than 5%
    • T•••••••• I••• J•••••• W••••••• · Chief Financial Officer And Chief Operating Officercontrol
      since 02/2012 · owns less than 5%
    • C••••• K••••••• S•••• · Limited Partnercontrol
      since 01/2005 · owns 25% to 50% of R••••• C•••••• G•••• H•••••••• L•••
    • E••••••• J••••• C••••••••• · Managercontrol
      since 01/2005 · owns 75% or more of R••••• C•••••• G••••• L•••••
    • E••••••• J••••• C••••••••• · Limited Partnercontrol
      since 01/2005 · owns 25% to 50% of R••••• Capital Group Holdings, LP
    Entity owners
    • R••••• C•••••• G•••• H•••••••• L••• · Limited Partner
      direct · owns 75% or more
    • R••••• M••••••••• L••••• · General Partner
      direct · owns less than 5%
    • R••••• C•••••• G•••• H•••••••• L••• · Manager
      indirect · owns 75% or more of R••••• M••••••••• L•••••
    • R••••• C•••••• G••••• L••••• · General Partner
      indirect · owns F of R••••• C•••••• G•••• H•••••••• L•••
    Related persons
    Schedule D 7.A
    Advisers that list R••••• A•••••••• L••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 0
      May 4, 2020 to Mar 31, 2021
    • Assets in custody · $14.4M to $21.2M
      May 4, 2020 to Mar 31, 2021
    • Employees · 9 to 12
      May 4, 2020 to Mar 31, 2021
    • State-registered IARs · 1 to 0
      May 4, 2020 to Mar 31, 2021
    • Discretionary RAUM · $17.6M to $21.2M
      May 4, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $17.6M to $21.2M
      May 4, 2020 to Mar 31, 2021
    • RAUM · $17.6M to $21.2M
      May 4, 2020 to Mar 31, 2021
    • Related bank · false to true
      May 4, 2020 to Mar 31, 2021
    • Other offices · 1 to 0
      Mar 27, 2019 to Apr 30, 2020
    • Discretionary RAUM · $14.4M to $17.6M
      Mar 27, 2019 to Apr 30, 2020
    • Pooled vehicle RAUM · $14.4M to $17.6M
      Mar 27, 2019 to Apr 30, 2020
    • RAUM · $14.4M to $17.6M
      Mar 27, 2019 to Apr 30, 2020
    • Accounts · 2 to 1
      Apr 5, 2018 to Mar 27, 2019
    • Pooled vehicle clients · 2 to 1
      Apr 5, 2018 to Mar 27, 2019
    • Assets in custody · $20.2M to $14.4M
      Apr 5, 2018 to Mar 27, 2019
    • Private funds · 2 to 1
      Apr 5, 2018 to Mar 27, 2019
    • Discretionary RAUM · $20.2M to $14.4M
      Apr 5, 2018 to Mar 27, 2019
    • Pooled vehicle RAUM · $20.2M to $14.4M
      Apr 5, 2018 to Mar 27, 2019
    • RAUM · $20.2M to $14.4M
      Apr 5, 2018 to Mar 27, 2019
    • Pooled vehicle RAUM · unset to 20194149.0
      Mar 31, 2017 to Apr 5, 2018
    • RAUM · $78.5M to $20.2M
      Mar 31, 2017 to Apr 5, 2018
    • Pooled vehicle clients · unset to 2.0
      Mar 31, 2017 to Apr 5, 2018
    • Assets in custody · $78.5M to $20.2M
      Mar 31, 2017 to Apr 5, 2018
    • Financial planning clients · unset to 1-10
      Mar 31, 2017 to Apr 5, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Apr 5, 2018
    • Discretionary RAUM · $78.5M to $20.2M
      Mar 31, 2017 to Apr 5, 2018
    • BD registered reps · 1 to 0
      Apr 29, 2016 to Mar 31, 2017
    • Assets in custody · $81.4M to $78.5M
      Apr 29, 2016 to Mar 31, 2017
    • Employees · 11 to 9
      Apr 29, 2016 to Mar 31, 2017
    • Discretionary RAUM · $81.4M to $78.5M
      Apr 29, 2016 to Mar 31, 2017
    • RAUM · $81.4M to $78.5M
      Apr 29, 2016 to Mar 31, 2017
    • Accounts · 3 to 2
      Jul 14, 2015 to Mar 30, 2016
    • Advisory activities · 3 to 2
      Jul 14, 2015 to Mar 30, 2016
    • BD registered reps · 0 to 1
      Jul 14, 2015 to Mar 30, 2016
    • Assets in custody · $416,460 to $81.4M
      Jul 14, 2015 to Mar 30, 2016
    • Insurance-licensed employees · 1 to 0
      Jul 14, 2015 to Mar 30, 2016
    • Discretionary RAUM · $89.0M to $81.4M
      Jul 14, 2015 to Mar 30, 2016
    • RAUM · $89.0M to $81.4M
      Jul 14, 2015 to Mar 30, 2016
    • Advisory activities · 2 to 3
      Mar 31, 2014 to Mar 31, 2015
    • Assets in custody · $361,738 to $416,460
      Mar 31, 2014 to Mar 31, 2015
    Signals
    4 dated events
    • Campbell Wesley Mcdowell (Chief Compliance Officer) appeared on Schedule A of R••••• A•••••••• L•••
      Mar 31, 2021 · Control person joined · fact
    • M••• H•••••• (Chief Compliance Officer) no longer on Schedule A of R••••• A•••••••• L••• (listed 2020-05-04, absent 2021-03-31)
      Mar 31, 2021 · Control person left · inference
    • Wells Jeremy Pinchot (Portfolio Manager) no longer on Schedule A of R••••• A•••••••• L••• (listed 2020-04-30, absent 2020-05-04)
      May 4, 2020 · Control person left · inference
    • M••• H•••••• (Chief Compliance Officer) appeared on Schedule A of R••••• A•••••••• L•••
      Mar 27, 2019 · Control person joined · fact
    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