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•• R••••• A•••••••• L•

Former SEC-registered adviserFrisco, TexasCRD 123939SEC 801-61917IAPD
Latest filing Mar 27, 2019
First filing on the tape Mar 14, 2012 · 18 filings
RAUM
$101M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$22.0M gross assets
History
18 filings and snapshots on the tape
RAUM$101M as of Mar 27, 2019
Mar 14, 2012$576M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2019
Mar 14, 20120 then
Employees (5.A)5 as of Mar 27, 2019
Mar 12, 20137 then
Private funds2 as of Mar 27, 2019
Mar 12, 20141 then
RAUM -47% over the last fiscal year-39% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
$33.7MderivedRAUM 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
$12.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-47%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$101M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• S•••••••• P•••••••• L•• D•• H•••••• I•••••••• F••• I•• L••Real Estate Fund$5.4M6Mar 29, 2016
      C•• M••••••••• I• L••Real Estate Fund$4.8M10Mar 12, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• K••••••• W•••••• · Limited Partner, Chief Compliance Officercontrol
        since 03/2001 · owns 25% to 50%
      • D••••••• J••• H••••• · Limited Partnercontrol
        since 03/2001 · owns 25% to 50%
      • C•••••• K••••••• W•••••• · Membercontrol
        since 03/2001 · owns 50% to 75% of C•• A•••••••• L••
      • D••••••• J••• H••••• · Membercontrol
        since 03/2001 · owns 50% to 75% of C•• A•••••••• L••
      Entity owners
      • C•• A•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•• M••••••••• I• L••
        y
      Advisers that list C•• 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
      • Assets in custody · 100000.0 to unset
        Aug 8, 2018 to Mar 27, 2019
      • Custody of client assets · true to false
        Aug 8, 2018 to Mar 27, 2019
      • HQ city · PLANO to FRISCO
        Aug 8, 2018 to Mar 27, 2019
      • Discretionary RAUM · $192M to $101M
        Aug 8, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $192M to $101M
        Aug 8, 2018 to Mar 27, 2019
      • RAUM · $192M to $101M
        Aug 8, 2018 to Mar 27, 2019
      • Advisory employees · 2 to 3
        Mar 13, 2018 to Aug 8, 2018
      • State-registered IARs · 2 to 3
        Mar 13, 2018 to Aug 8, 2018
      • Pooled vehicle clients · unset to 8.0
        Feb 15, 2018 to Mar 13, 2018
      • Pooled vehicle RAUM · unset to 192000000.0
        Feb 15, 2018 to Mar 13, 2018
      • Related adviser · true to false
        Feb 15, 2018 to Mar 13, 2018
      • Accounts · 10 to 8
        May 18, 2017 to Feb 15, 2018
      • Advisory employees · 3 to 2
        May 18, 2017 to Feb 15, 2018
      • Employees · 6 to 5
        May 18, 2017 to Feb 15, 2018
      • HQ city · DALLAS to PLANO
        May 18, 2017 to Feb 15, 2018
      • State-registered IARs · 3 to 2
        May 18, 2017 to Feb 15, 2018
      • Other offices · unset to 0.0
        May 18, 2017 to Feb 15, 2018
      • Discretionary RAUM · $20.7M to $192M
        May 18, 2017 to Feb 15, 2018
      • RAUM · $20.7M to $192M
        May 18, 2017 to Feb 15, 2018
      • Accounts · 6 to 10
        Mar 31, 2017 to May 16, 2017
      • Discretionary RAUM · $38.6M to $20.7M
        Mar 31, 2017 to May 16, 2017
      • Non-discretionary RAUM · $12.4M to $0
        Mar 31, 2017 to May 16, 2017
      • RAUM · $51.0M to $20.7M
        Mar 31, 2017 to May 16, 2017
      • Accounts · 8 to 6
        Jun 24, 2016 to Mar 31, 2017
      • Employees · 7 to 6
        Jun 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $203M to $38.6M
        Jun 24, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $251M to $12.4M
        Jun 24, 2016 to Mar 31, 2017
      • RAUM · $454M to $51.0M
        Jun 24, 2016 to Mar 31, 2017
      • Related adviser · false to true
        Jun 24, 2016 to Mar 31, 2017
      • Accounts · 10 to 8
        Oct 27, 2015 to Mar 29, 2016
      • Advisory activities · 2 to 3
        Oct 27, 2015 to Mar 29, 2016
      • Organization form · Other (specify) to Limited Partnership
        Oct 27, 2015 to Mar 29, 2016
      • Private funds · 1 to 2
        Oct 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $20.0M to $203M
        Oct 27, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $800M to $251M
        Oct 27, 2015 to Mar 29, 2016
      • RAUM · $820M to $454M
        Oct 27, 2015 to Mar 29, 2016
      • Accounts · 8 to 10
        Mar 12, 2014 to Feb 12, 2015
      • Assets in custody · $3.0M to $100,000
        Mar 12, 2014 to Feb 12, 2015
      • Discretionary RAUM · $0 to $20.0M
        Mar 12, 2014 to Feb 12, 2015
      • Non-discretionary RAUM · $771M to $800M
        Mar 12, 2014 to Feb 12, 2015
      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
      Across the graphs

      C•• R••••• A•••••••• L• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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