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Former SEC-registered adviser

O••• W••••• A•••••••• I•••

Former SEC-registered adviserDallas, TexasCRD 119558SEC 801-64117IAPD
Latest filing Nov 8, 2013
First filing on the tape Jan 3, 2012 · 26 filings
RAUM
$122M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$122M as of Mar 7, 2013
Mar 27, 2012$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 2
Employees (5.A): 3
Private funds: no history
RAUM -6.2% over the last fiscal year
Practice profile
derived from the filing of Nov 8, 2013; every figure names its basis
RAUM per advisor
$61.0MderivedRAUM 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
$93,272derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-6.2%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
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
1,308reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••• B•••••••• H••••••• · Presidentcontrol
    since 07/2012 · owns less than 5%
  • M••••••• J•••• W•••••• · Chief Compliance Officercontrol
    since 06/2010 · owns less than 5%
  • C••••••• D•••••• J••• · Partnercontrol
    since 07/1998 · owns 75% or more of L••••••• P•••••••• L•••
Entity owners
  • C•••••••• L••••• G••••• I••• · Owner
    direct · owns 75% or more
  • L••••••• P•••••••• L••• · Owner Of Registrant
    indirect · owns 75% or more of C•••••••• L••••• G••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Bartlesville, OK
  • Boca Raton, FL
  • Little Rock, AR
  • Monroe, LA
  • Spring, TX
What changed
consecutive filings, newest first
  • Business name · C•••••••• L••••• A•••••••• I••• to O••• W••••• A•••••••• I•••
    Mar 7, 2013 to Mar 11, 2013
  • Accounts · 1,523 to 1,308
    Feb 25, 2013 to Mar 7, 2013
  • BD registered reps · 1 to 0
    Feb 25, 2013 to Mar 7, 2013
  • Employees · 4 to 3
    Feb 25, 2013 to Mar 7, 2013
  • Insurance-licensed employees · 1 to 0
    Feb 25, 2013 to Mar 7, 2013
  • Legal name · C•••••••• L••••• A•••••••• I••• to O••• W••••• A•••••••• I•••
    Feb 25, 2013 to Mar 7, 2013
  • Discretionary RAUM · $130M to $122M
    Feb 25, 2013 to Mar 7, 2013
  • RAUM · $130M to $122M
    Feb 25, 2013 to Mar 7, 2013
  • Advisory employees · unset to 2.0
    Oct 23, 2012 to Jan 9, 2013
  • BD registered reps · unset to 1.0
    Oct 23, 2012 to Jan 9, 2013
  • Employees · unset to 4.0
    Oct 23, 2012 to Jan 9, 2013
  • State-registered IARs · unset to 2.0
    Oct 23, 2012 to Jan 9, 2013
  • Related broker-dealer · true to false
    Jul 24, 2012 to Oct 4, 2012
  • Accounts · 1,700 to 1,523
    Jan 3, 2012 to Mar 27, 2012
  • Discretionary RAUM · $125M to $130M
    Jan 3, 2012 to Mar 27, 2012
  • RAUM · $125M to $130M
    Jan 3, 2012 to Mar 27, 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