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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SEC-registered adviser
R••••• I••••••••• M•••••••••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Oct 23, 2003
RAUM
$1.5B
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.5B as of Mar 25, 2026
Mar 30, 2012$1.0B then
HNW client RAUM$0 as of Mar 25, 2026
Mar 27, 2019$877,281 then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Apr 1, 20131 then
Employees (5.A)15 as of Mar 25, 2026
Apr 1, 201319 then
Private funds1 as of Mar 25, 2026
Mar 30, 20124 then
RAUM -8.3% over the last fiscal year+1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $74.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.3%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $21.9M, 1 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
- Corporations and businesses$970M66%
- State and municipal entities$209M14%
- Pooled investment vehicles$127M8.6%
- Investment companies$91.5M6.2%
- Pension and profit-sharing plans$44.1M3.0%
- Charitable organizations$32.4M2.2%
- Other investment advisers$5.1M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.9M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.15 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• A•• S•••• C•• P•••••••• C•••• O• T•• R••••• I••••••••• M••••• F•••• L• | Other Private Fund | $126M | 1 | Oct 30, 2020 |
| T•• S•••• C•• P•••••••• C•••• O• T•• R••••• I••••••••• M••••• F•••• L• | Other Private Fund | $42.4M | 12 | Mar 30, 2012 |
| R••••• S•••• C•• S••••• F•••• L•••no longer reported | Other Private Fund | $19.4M | 6 | Mar 30, 2012 |
| R••••• M•• C•• F•••• L•••no longer reported | Other Private Fund | $13.3M | 7 | Mar 30, 2012 |
| R••••• M•• C•• S••••• F•••• L•••no longer reported | Other Private Fund | $11.0M | 5 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• B••••••• · Head Trader And Limited Partnercontrolsince 06/2003 · owns 5% to 10%
- C•••••• M••••• Z• · Head Of M•••Eting And Limited Partnercontrolsince 02/2022 · owns less than 5%
- D••••••• W••••••• C••••• · Chief Investment Officer, P•••••••• Manager And Limited Partnercontrolsince 10/2004 · owns 25% to 50%
- H•••• A•••••• F••••••• · President, P•••••••• Manager And Limited Partnercontrolsince 02/2017 · owns 10% to 25%
- L•••••• J•••••• T••••• · Managing Director, P•••••••• Manager And Limited Partnercontrolsince 02/2017 · owns 10% to 25%
- M••••••••• B••••• V•••••• · Director, Portolio Manager And Limited Partnercontrolsince 02/2015 · owns 10% to 25%
- M••••••• M••••••• H••• · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- W•••• M••••••• R••••• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- B•••• W•••••• C••••• · Directorcontrolsince 02/2018 · owns F of K••• I••••••••• M••••••••• L••
- C•••••• J•••••••• A••• · Directorcontrolsince 02/2018 · owns F of K••• I••••••••• M••••••••• L••
- D••••••• W••••••• C••••• · Member And Manager Of R••••• I••••••••• G•• L••controlsince 12/2020 · owns 25% to 50% of R••••• I••••••••• G•• L••
- J••••••• R•••••• S•••• · Directorcontrolsince 12/2014 · owns F of K••• I••••••••• M••••••••• L••
- R•••••••• G•••••• M•••••• · Directorcontrolsince 02/2018 · owns F of K••• I••••••••• M••••••••• L••
- R•••••• C••••••• A•••••• · Directorcontrolsince 12/2014 · owns F of K••• I••••••••• M••••••••• L••
- H••••••• D••••• K••••••• · Senior Analystsince 02/2023 · owns less than 5%
- K•••••• N••••• Q•••• · Member Of Parent Companysince 01/2021 · owns F of K••• I••••••••• M••••••••• L••
- M•••••• G••••• W•••••• · Chief Financial Officer Of Pareent Companysince 12/2014 · owns F of K••• I••••••••• H•••••••• L••
- P••••• N•••••••• •••• · Chief Compliance Officer / Chief Operating Officer Of Parent Companysince 12/2014 · owns F of K••• I••••••••• M••••••••• L••
- S•••• S•••••••• C••••••••• · Member Of Parent Companysince 04/2019 · owns F of K••• I••••••••• M••••••••• L••
Entity owners
- R••••• I••••••••• G•• L•• · General Partnerdirect · owns less than 5%
- K••• I••••••••• H•••••••• L•• · Memberindirect · owns F of K••• I••••••••• U•• L••
- K••• I••••••••• M••••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• H•••••••• L••
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of W• H••••• •••••••• L••• · public reporting company
- W• H••••• •••••••• L••• · Shareholderindirect · owns 75% or more of W• I••••••••• H••••••• L•••
- W• I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of W• R••••• L••
- W• R••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• M••••••••• L••
- K••• I••••••••• U•• L•• · Limited Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 23 to 20Jun 3, 2025 to Mar 25, 2026
- Assets in custody · $44.6M to $21.9MJun 3, 2025 to Mar 25, 2026
- Employees · 14 to 15Jun 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.6B to $1.5BJun 3, 2025 to Mar 25, 2026
- Pension RAUM · $54.6M to $44.1MJun 3, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $171M to $127MJun 3, 2025 to Mar 25, 2026
- RAUM · $1.6B to $1.5BJun 3, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 3, 2025
- Assets in custody · $169M to $44.6MMar 28, 2024 to Mar 27, 2025
- Employees · 17 to 14Mar 28, 2024 to Mar 27, 2025
- Private funds · 2 to 1Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.7B to $1.6BMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $52.6M to $54.6MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $239M to $171MMar 28, 2024 to Mar 27, 2025
- RAUM · $1.7B to $1.6BMar 28, 2024 to Mar 27, 2025
- Accounts · 26 to 23Jan 24, 2024 to Mar 28, 2024
- Corporate clients · 5.0 to unsetJan 24, 2024 to Mar 28, 2024
- Pension plan clients · 5.0 to unsetJan 24, 2024 to Mar 28, 2024
- Pooled vehicle clients · 2 to 3Jan 24, 2024 to Mar 28, 2024
- Assets in custody · $114M to $169MJan 24, 2024 to Mar 28, 2024
- Employees · 15 to 17Jan 24, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.7BJan 24, 2024 to Mar 28, 2024
- Pension RAUM · $73.3M to $52.6MJan 24, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $166M to $239MJan 24, 2024 to Mar 28, 2024
- RAUM · $1.4B to $1.7BJan 24, 2024 to Mar 28, 2024
- Assets in custody · $174M to $114MSep 30, 2022 to Mar 31, 2023
- Employees · 19 to 15Sep 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.9B to $1.4BSep 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $16.9M to $0Sep 30, 2022 to Mar 31, 2023
- Pension RAUM · $138M to $73.3MSep 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $196M to $166MSep 30, 2022 to Mar 31, 2023
- RAUM · $1.9B to $1.4BSep 30, 2022 to Mar 31, 2023
- Accounts · 31 to 26Nov 5, 2021 to Mar 7, 2022
- Advisory employees · 8 to 9Nov 5, 2021 to Mar 7, 2022
- Corporate clients · 6 to 5Nov 5, 2021 to Mar 7, 2022
- Pension plan clients · 11 to 5Nov 5, 2021 to Mar 7, 2022
- Assets in custody · $152M to $174MNov 5, 2021 to Mar 7, 2022
- Employees · 16 to 19Nov 5, 2021 to Mar 7, 2022
- Discretionary RAUM · $1.9B to $1.9BNov 5, 2021 to Mar 7, 2022
- HNW RAUM · unset to 0.0Nov 5, 2021 to Mar 7, 2022
Signals
18 dated events
- Robert Matthew Wade (Chief Financial Officer) appeared on Schedule A of R••••• I••••••••• M•••••••••Mar 28, 2024 · Control person joined · fact
- Kay Dana Ousley (Chief Financial Officer) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2024-01-24, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- R••••• I••••••••• M••••••••• reported RAUM $1.4B, down 26% from $1.9B (2022-09-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Z Marta Cotton (Head Of M•••eting And Limited Partner) appeared on Schedule A of R••••• I••••••••• M•••••••••Mar 7, 2022 · Control person joined · fact
- Milad M••• H•••••• (Chief Compliance Officer) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2021-08-10, absent 2021-11-05)Nov 5, 2021 · Control person left · inference
- Hope Melanie Mendoza (Chief Compliance Officer) appeared on Schedule A of R••••• I••••••••• M•••••••••Nov 5, 2021 · Control person joined · fact
- Whitaker Joseph Iii Thompson (Coo/Cfo) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2020-10-30, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- James Nimrod Hacker (General Counsel) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2020-10-30, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- C••••••••• Jason Elliott (Manager Of Ranger Capital Group, L.L.C.) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2020-10-30, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- Scott Kenneth Canon (Limited Partner Of Ranger Capital Group Holdings, L.P.) no longer on Schedule A of R••••• I••••••••• M••••••••• (listed 2020-10-30, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- Scott Robert Jakacki (Director) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- Anthony Charles Ruffel (Director) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- Adam Jonathan Cramer (Director) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- Dana Ousley (Chief Accounting Officer) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- Manning George Rountree (Director) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- C••••• W••••• B••• (Director) appeared on Schedule A of R••••• I••••••••• M•••••••••Jan 20, 2021 · Control person joined · fact
- R••••• I••••••••• M••••••••• reported RAUM $1.6B, up 27% from $1.2B (2019-06-11 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- M••• H•••••• (Chief Compliance Officer) appeared on Schedule A of R••••• I••••••••• M•••••••••Mar 27, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- R••••• I••••••••• M••••••••• · Family Officesshared crd · office
- R••••• I••••••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/R•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-871-5260reportedpublic record, Form ADV, Mar 25, 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
- Other 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