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
C••••• P•••••••• L•••
Latest filing Sep 4, 2019
First filing on the tape Mar 9, 2012 · 17 filings
RAUM
$87.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$87.3M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$87.3M gross assets
History
17 filings and snapshots on the tape
RAUM$87.3M as of Mar 27, 2019
Mar 9, 2012$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 22, 20130 then
Employees (5.A)3 as of Mar 27, 2019
Mar 22, 20135 then
Private funds1 as of Mar 27, 2019
Mar 9, 20121 then
RAUM -24% over the last fiscal year-34% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Sep 4, 2019; every figure names its basis
- RAUM per advisor
- $87.3MderivedRAUM 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
- $87.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$87.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• I••••• S••••• | Dallas, Tx | Sep 6, 2019 | 21 y | 0 |
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
- T•••••• M•••••• K••••• to W•••• F•••• A•••••••Feb 25, 2004 · Other
Joined, latest
- T•••••• M•••••• K••••• from C••••• P•••••••• L•••Nov 8, 2002 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• M••••• C••••••••• F•••• L••• | Hedge Fund | $87.3M | 34 | Mar 9, 2012 |
| C••••• P••••••• F••• • L•••no longer reported | Hedge Fund | $12.2M | 1 | Jun 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M••••••• C••••••••• · Limited Partnercontrolsince 10/1999 · owns 25% to 50%
- M••••• S•••••• S••••• · Limited Partnercontrolsince 10/1999 · owns 25% to 50%
- S•••••• M•••• I••••• · Limited Partner / Chief Compliance Officercontrolsince 03/2018 · owns 25% to 50%
- M••••••••• M••••••• C••••••••• · Membercontrolsince 01/2015 · owns 25% to 50% of C••••• P••••••• M••••••••• L••
- M••••• S•••••• S••••• · Membercontrolsince 01/2015 · owns 25% to 50% of C••••• P••••••• M••••••••• L••
- S•••••• M•••• I••••• · Membercontrolsince 04/2018 · owns 25% to 50% of C••••• P••••••• M••••••••• L••
Entity owners
- C••••• P••••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
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
- State-registered IARs · 0 to 1Jun 26, 2019 to Aug 12, 2019
- Assets in custody · 148118936.0 to unsetJan 30, 2019 to Mar 27, 2019
- Custody of client assets · true to falseJan 30, 2019 to Mar 27, 2019
- Discretionary RAUM · $148M to $87.3MJan 30, 2019 to Mar 27, 2019
- Pooled vehicle RAUM · $148M to $87.3MJan 30, 2019 to Mar 27, 2019
- RAUM · $148M to $87.3MJan 30, 2019 to Mar 27, 2019
- Advisory employees · 2 to 1Jun 14, 2018 to Jan 30, 2019
- Assets in custody · $149M to $148MJun 14, 2018 to Jan 30, 2019
- Employees · 4 to 3Jun 14, 2018 to Jan 30, 2019
- Assets in custody · $115M to $149MMar 29, 2018 to Jun 14, 2018
- Discretionary RAUM · $114M to $148MMar 29, 2018 to Jun 14, 2018
- Pooled vehicle RAUM · $114M to $148MMar 29, 2018 to Jun 14, 2018
- RAUM · $114M to $148MMar 29, 2018 to Jun 14, 2018
- Accounts · 2 to 1Mar 22, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 22, 2017 to Mar 29, 2018
- Assets in custody · $349M to $115MMar 22, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Mar 29, 2018
- Private funds · 2 to 1Mar 22, 2017 to Mar 29, 2018
- Discretionary RAUM · $349M to $114MMar 22, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 114111404.0Mar 22, 2017 to Mar 29, 2018
- RAUM · $349M to $114MMar 22, 2017 to Mar 29, 2018
- Advisory employees · 3 to 2Mar 30, 2016 to Mar 22, 2017
- Assets in custody · $298M to $349MMar 30, 2016 to Mar 22, 2017
- Discretionary RAUM · $298M to $349MMar 30, 2016 to Mar 22, 2017
- RAUM · $298M to $349MMar 30, 2016 to Mar 22, 2017
- Assets in custody · $257M to $298MNov 16, 2015 to Mar 30, 2016
- Financial planning clients · 0 to unsetNov 16, 2015 to Mar 30, 2016
- Discretionary RAUM · $257M to $298MNov 16, 2015 to Mar 30, 2016
- RAUM · $257M to $298MNov 16, 2015 to Mar 30, 2016
- Accounts · 1 to 2Mar 30, 2015 to Jun 30, 2015
- Assets in custody · $202M to $257MMar 30, 2015 to Jun 30, 2015
- Private funds · 1 to 2Mar 30, 2015 to Jun 30, 2015
- Discretionary RAUM · $202M to $257MMar 30, 2015 to Jun 30, 2015
- RAUM · $202M to $257MMar 30, 2015 to Jun 30, 2015
- Assets in custody · $167M to $202MMar 31, 2014 to Mar 30, 2015
- Employees · 5 to 4Mar 31, 2014 to Mar 30, 2015
- Discretionary RAUM · $167M to $202MMar 31, 2014 to Mar 30, 2015
- RAUM · $167M to $202MMar 31, 2014 to Mar 30, 2015
- Assets in custody · $138M to $167MMar 22, 2013 to Mar 31, 2014
- Organization form · Partnership to Limited PartnershipMar 22, 2013 to Mar 31, 2014
Signals
3 dated events
- Alexander John Guerry (Limited Partner) no longer on Schedule A of C••••• P•••••••• L••• (listed 2018-06-14, absent 2019-01-30)Jan 30, 2019 · Control person left · inference
- Samuel-Aaron John Relton (Chief Compliance Officer) no longer on Schedule A of C••••• P•••••••• L••• (listed 2018-06-14, absent 2019-01-30)Jan 30, 2019 · Control person left · inference
- C••••• P•••••••• L••• reported RAUM $114.1M, down 67% from $348.6M (2017-03-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- cloverpartners.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $87.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026