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
T••••••• L•••
Latest filing Apr 11, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$391M
reported, Item 5.F
Discretionary
95%
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
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$391M as of Mar 28, 2013
Mar 30, 2012$505M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 11
Private funds: no history
RAUM -23% over the last fiscal yearIARs 0 to 11
Practice profile
derived from the filing of Apr 11, 2013; every figure names its basis
- RAUM per advisor
- $35.5MderivedRAUM 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
- $296,564derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%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, pension consulting, 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
- 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)
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
- 1,318reported
- Financial planning clients
- 1-10reported
- 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
- S•••• A••• L•••••• to N••••••• L••Dec 31, 2013 · Other
- A•••••• G••••• F••••••• to W•••••••••Dec 31, 2013 · Other
- K•••••• V••••••• B••• to E•••••••• R••••••••• I•••Dec 31, 2013 · Other
- B•••••••• L•• M••••• to W•••••••••Dec 31, 2013 · Other
- E••• S•••• T••• to N••••••• L••Dec 31, 2013 · Other
- C••••••••• P••• V•• S•••• to W•••••••••Dec 31, 2013 · Other
- M••••• H••••• S•••• to W•••••••••Dec 31, 2013 · Other
- S•••• W•••••• O•••••• to W•••••••••Dec 31, 2013 · Other
- H•• R•••••• S•••••••• to B••• W•••• C•••••• M••••••••• L••Oct 17, 2008 · Other
- T••••••• A•••••• G•••• to B••• W•••• C•••••• M••••••••• L••Oct 3, 2006 · Other
Joined, latest
- S•••• W•••••• O•••••• from C••••••• P•••••••Jun 11, 2012 · Other
- S•••• A••• L•••••• from W•••••••••Jan 6, 2012 · Other
- E••• S•••• T••• from W•••••••••Jan 6, 2012 · Other
- M••••• H••••• S•••• from E••••••• W••••• A•••••••Mar 4, 2010 · Other
- H•• R•••••• S•••••••• from C•••••• A•••• A•••••••Oct 22, 2003 · Other
- T••••••• A•••••• G•••• from C••••••••• W••••• S••••••••• G••••• I•••Sep 26, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• A••••••• G••••• · Wealth Managercontrolsince 01/2007 · owns less than 5%
- L••••••• S••••• A••• · Managing Membercontrolsince 07/2008 · owns 25% to 50%
- V•••••••• C••••••••• P••• · Managing Membercontrolsince 01/2001 · owns 25% to 50%
- T•••• E•••• S•••• · Chief Compliance Officersince 03/2013 · owns less than 5%
Related persons
Schedule D 7.A
- W•••••••••investment advisernRAUM $1.1B
Offices
Schedule D 1.F, the 25 largest
- Austin, TX
- La Jolla, CA
- ,
What changed
consecutive filings, newest first
- Accounts · 997 to 1,318Oct 31, 2012 to Mar 28, 2013
- Insurance-licensed employees · 7 to 9Oct 31, 2012 to Mar 28, 2013
- Financial planning clients · 101-250 to 1-10Oct 31, 2012 to Mar 28, 2013
- State-registered IARs · 9 to 11Oct 31, 2012 to Mar 28, 2013
- Discretionary RAUM · $485M to $372MOct 31, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $20.0M to $19.3MOct 31, 2012 to Mar 28, 2013
- RAUM · $505M to $391MOct 31, 2012 to Mar 28, 2013
- Advisory employees · unset to 11.0Apr 16, 2012 to Oct 31, 2012
- Employees · unset to 11.0Apr 16, 2012 to Oct 31, 2012
- State-registered IARs · 0 to 9Apr 16, 2012 to Oct 31, 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