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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••••• F•••••••• P•••••••

Former SEC-registered adviserSouthlake, TexasCRD 120293SEC 801-79101IAPD
Legal name J•••••• H•••••••• L••
Latest filing Apr 21, 2022
First filing on the tape Jan 14, 2014 · 26 filings
RAUM
$509M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$509M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$509M as of Apr 1, 2022
Mar 28, 2014$179M then
HNW client RAUM$461M as of Apr 1, 2022
Mar 29, 2018$252M then
State-registered IARs (5.B.3)8 as of Apr 1, 2022
Mar 28, 20146 then
Employees (5.A)13 as of Apr 1, 2022
Mar 28, 20148 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Apr 21, 2022; every figure names its basis
RAUM per advisor
$63.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
34derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$362,767derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$315M, 276 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$461M91%
  • Individuals$47.4M9.3%
Individual clients
98reported
HNW clients
174reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,402reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$315M for 276 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• B••••• D••• · Principal,Ccocontrol
      since 04/2002 · owns 50% to 75%
    • C••••••••• R••••••• S•••• · Senior Financial Advisor; Ownercontrol
      since 07/2015 · owns 10% to 25%
    • I••••• K•••• C••••••••• · Senior Financial Advisor, Ownercontrol
      since 04/2021 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,323 to 1,402
      Feb 21, 2022 to Apr 1, 2022
    • HNW clients · 148 to 174
      Feb 21, 2022 to Apr 1, 2022
    • Individual clients · 110 to 98
      Feb 21, 2022 to Apr 1, 2022
    • Assets in custody · $177M to $315M
      Feb 21, 2022 to Apr 1, 2022
    • Discretionary RAUM · $420M to $509M
      Feb 21, 2022 to Apr 1, 2022
    • HNW RAUM · $364M to $461M
      Feb 21, 2022 to Apr 1, 2022
    • Individual RAUM · $55.9M to $47.4M
      Feb 21, 2022 to Apr 1, 2022
    • RAUM · $420M to $509M
      Feb 21, 2022 to Apr 1, 2022
    • Advisory employees · 7 to 8
      Nov 30, 2021 to Dec 22, 2021
    • Employees · 12 to 13
      Nov 30, 2021 to Dec 22, 2021
    • State-registered IARs · 7 to 8
      Nov 30, 2021 to Dec 22, 2021
    • Advisory employees · 6 to 7
      Jun 15, 2021 to Jun 18, 2021
    • Employees · 11 to 12
      Jun 15, 2021 to Jun 18, 2021
    • State-registered IARs · 6 to 7
      Jun 15, 2021 to Jun 18, 2021
    • Advisory employees · 7 to 6
      Mar 31, 2021 to Jun 15, 2021
    • Employees · 12 to 11
      Mar 31, 2021 to Jun 15, 2021
    • State-registered IARs · 7 to 6
      Mar 31, 2021 to Jun 15, 2021
    • Accounts · 1,208 to 1,323
      Jun 30, 2020 to Mar 2, 2021
    • HNW clients · 131 to 148
      Jun 30, 2020 to Mar 2, 2021
    • Individual clients · 92 to 110
      Jun 30, 2020 to Mar 2, 2021
    • Assets in custody · $144M to $177M
      Jun 30, 2020 to Mar 2, 2021
    • Financial planning clients · 101-250 to 251-500
      Jun 30, 2020 to Mar 2, 2021
    • Discretionary RAUM · $361M to $420M
      Jun 30, 2020 to Mar 2, 2021
    • HNW RAUM · $315M to $364M
      Jun 30, 2020 to Mar 2, 2021
    • Individual RAUM · $46.1M to $55.9M
      Jun 30, 2020 to Mar 2, 2021
    • RAUM · $361M to $420M
      Jun 30, 2020 to Mar 2, 2021
    • Accounts · 1,095 to 1,208
      Jun 24, 2019 to Mar 18, 2020
    • HNW clients · 107 to 131
      Jun 24, 2019 to Mar 18, 2020
    • Individual clients · 93 to 92
      Jun 24, 2019 to Mar 18, 2020
    • Assets in custody · $120M to $144M
      Jun 24, 2019 to Mar 18, 2020
    • Discretionary RAUM · $303M to $361M
      Jun 24, 2019 to Mar 18, 2020
    • HNW RAUM · $251M to $315M
      Jun 24, 2019 to Mar 18, 2020
    • Individual RAUM · $51.5M to $46.1M
      Jun 24, 2019 to Mar 18, 2020
    • RAUM · $303M to $361M
      Jun 24, 2019 to Mar 18, 2020
    • Advisory employees · 6 to 7
      Mar 27, 2019 to Jun 24, 2019
    • Employees · 11 to 12
      Mar 27, 2019 to Jun 24, 2019
    • State-registered IARs · 6 to 7
      Mar 27, 2019 to Jun 24, 2019
    • Accounts · 980 to 1,095
      Jan 18, 2019 to Mar 27, 2019
    • Charity clients · unset to 0.0
      Jan 18, 2019 to Mar 27, 2019
    • Corporate clients · unset to 0.0
      Jan 18, 2019 to Mar 27, 2019
    Signals
    10 dated events
    • C•••••••• F•••••••• P•••••••'s advisors moved to B••••••••• S•••••••• W•••••• L•• (Southlake, TX): 7 of 7 registered, on the same day
      Feb 1, 2023 · Firm absorbed (people side) · derived
    • B••••••• J•••• J•••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • K••• C••••••••• I•••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • R•••••• S•••• C•••••••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • B•••• D••• C•••••••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • A••••• N••••• S•••••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-02)
      Feb 1, 2023 · Advisor changed firm · fact
    • G•••••• M•••••• L••••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • C••• M•••••• J•••• left C•••••••• F•••••••• P••••••• for B••••••••• S•••••••• W•••••• L•• (registered 2023-02-01)
      Feb 1, 2023 · Advisor changed firm · fact
    • Christopher Kyle Imhof (Senior Financial Advisor, Owner) appeared on Schedule A of C•••••••• F•••••••• P•••••••
      Jun 18, 2021 · Control person joined · fact
    • C•••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
      Jan 14, 2014 · First SEC registration · 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