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
P••••••• C•••••• I•••••••••
Legal name P••••••• C•••••• I••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 28, 2012 · 45 filings
SEC status approved since May 16, 2003
RAUM
$748M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$595M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
15
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$748M as of Apr 30, 2026
Mar 28, 2012$245M then
HNW client RAUM$576M as of Apr 30, 2026
Mar 15, 2018$260M then
State-registered IARs (5.B.3)3 as of Apr 30, 2026
Mar 14, 20133 then
Employees (5.A)4 as of Apr 30, 2026
Mar 14, 20133 then
Private funds15 as of Apr 30, 2026
Mar 28, 20121 then
RAUM +20% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$576M77%
- Pooled investment vehicles$132M18%
- Individuals$19.3M2.6%
- Charitable organizations$18.9M2.5%
- Pension and profit-sharing plans$670,0300.1%
- Corporations and businesses$654,3640.1%
- Individual clients
- 69reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 277reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.8 fund_share=0.18 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• I••••••• | Rancho S•••• Fe, Ca | Mar 7, 2005 | 36 y | 0 |
| K••• N••••• L•••••• | Leander, Tx | Nov 3, 2009 | 22 y | 0 |
| B•••• H••••• W••• B•••• | Leander, Tx | Jun 27, 2016 | 18 y | 0 |
| A••••••• L•••••• S•••••• | Leander, Tx | Jul 31, 2024 | 9 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
none on the tape
Joined, latest
none on the tape
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• P••••••• G•••• • R••• E••••• F••• I•• L•• | Real Estate Fund | $26.5M | 96 | Mar 11, 2019 |
| R•• P••••••• G•••• • R••• E••••• F••• V•• L•• | Real Estate Fund | $17.3M | 35 | Mar 9, 2022 |
| P••••••• R••• E••••• S••••• L••••• F••• I• L•• | Real Estate Fund | $15.6M | 60 | Mar 15, 2018 |
| R•• P••••••• G•••• • R••• E••••• F••• I•• L•• | Real Estate Fund | $13.6M | 93 | Mar 29, 2017 |
| P••••••• R••• E••••• V• L•• | Real Estate Fund | $13.1M | 89 | Mar 30, 2016 |
| P••••••• C•••••• S••••••• L•• | Private Equity Fund | $8.4M | 42 | Mar 20, 2015 |
| R•• P••••••• O••••••••• L••• F••• I• L•• | Real Estate Fund | $7.8M | 61 | Mar 11, 2019 |
| P••••••• R••• E••••• I••• L•• | Real Estate Fund | $7.8M | 54 | Mar 20, 2015 |
| P••••••• R••• E••••• I•• L•• | Real Estate Fund | $7.4M | 62 | Mar 20, 2015 |
| R•• P••••••• G•••• • R••• E••••• F••• I••• L•• | Real Estate Fund | $4.4M | 67 | Mar 15, 2018 |
| P••••••• R••• E••••• S•••• B•••••• F••• I• L•• | Real Estate Fund | $2.7M | 41 | Mar 29, 2017 |
| P••••••• S•••••• F••• I• L•• | Real Estate Fund | $2.2M | 32 | Mar 12, 2020 |
| R•• P••••••• • T•••• F••• V• L•• | Real Estate Fund | $1.0M | 18 | Mar 9, 2022 |
| P••••••• C•••••• F•••• L•••no longer reported | Private Equity Fund | $891,779 | 18 | Mar 28, 2012 |
| R•• P••••••• G•••• • D••••••••• F••• I• L•• | Real Estate Fund | $0 | 78 | Mar 29, 2017 |
| P••••••• R••• E••••• I•• L•• | Real Estate Fund | $0 | 32 | Mar 20, 2015 |
| P••••••• R••• E••••• I• L•• | Real Estate Fund | $0 | 19 | Mar 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• K•••• N••••• · Principal, Chief Executive Officer & Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- L••••••• A••••••• · Principal, Chief Operating Officercontrolsince 07/2024 · owns less than 5%
- B••••• B••••• H••••• W••• · Membercontrolsince 02/2024 · owns 75% or more of N••• H•••••••• L••
- L••••••• K•••• N••••• · Trusteecontrolsince 12/2022 · owns 75% or more of K••• L•••••• R•••••••• 2••• T••••
- L••••••• C••••••• O••• · Trusteecontrolsince 07/2024 · owns 75% or more of L•••••• F••••• T•••• O• 2•••
- B••••• B••••• H••••• W••• · Principal, Chief Investment Officersince 01/2023 · owns less than 5%
Entity owners
- L•••••• F••••• T•••• O• 2••• · Memberdirect · owns 75% or more
- K••• L•••••• R•••••••• 2••• T•••• · Memberdirect · owns 10% to 25%
- N••• H•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- P••••••• C•••••• R••• E•••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Leander, Tx | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Apr 30, 2026custody of client assets (Item 9.A): yes on the filing of 2026-03-24, no on the filing of 2026-04-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Assets in custody · 128689502.0 to unsetMar 24, 2026 to Apr 30, 2026
- Custody of client assets · true to falseMar 24, 2026 to Apr 30, 2026
- Accounts · 259 to 277Feb 2, 2026 to Mar 24, 2026
- Corporate clients · 0.0 to unsetFeb 2, 2026 to Mar 24, 2026
- HNW clients · 82 to 87Feb 2, 2026 to Mar 24, 2026
- Individual clients · 64 to 69Feb 2, 2026 to Mar 24, 2026
- Pooled vehicle clients · 14 to 15Feb 2, 2026 to Mar 24, 2026
- Private funds · 14 to 15Feb 2, 2026 to Mar 24, 2026
- Discretionary RAUM · $622M to $748MFeb 2, 2026 to Mar 24, 2026
- HNW RAUM · $440M to $576MFeb 2, 2026 to Mar 24, 2026
- Individual RAUM · $33.6M to $19.3MFeb 2, 2026 to Mar 24, 2026
- Pension RAUM · $4.9M to $670,030Feb 2, 2026 to Mar 24, 2026
- Pooled vehicle RAUM · $129M to $132MFeb 2, 2026 to Mar 24, 2026
- RAUM · $622M to $748MFeb 2, 2026 to Mar 24, 2026
- Accounts · 276 to 259Dec 3, 2024 to Mar 28, 2025
- HNW clients · 92 to 82Dec 3, 2024 to Mar 28, 2025
- Pension plan clients · 5.0 to unsetDec 3, 2024 to Mar 28, 2025
- Pooled vehicle clients · 15 to 14Dec 3, 2024 to Mar 28, 2025
- Assets in custody · $127M to $129MDec 3, 2024 to Mar 28, 2025
- Employees · 3 to 4Dec 3, 2024 to Mar 28, 2025
- Financial planning clients · unset to Dec 3, 2024 to Mar 28, 2025
- HQ city · unset to Dec 3, 2024 to Mar 28, 2025
- HQ state · unset to Dec 3, 2024 to Mar 28, 2025
- Other offices · 2 to 3Dec 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $602M to $622MDec 3, 2024 to Mar 28, 2025
- HNW RAUM · $417M to $440MDec 3, 2024 to Mar 28, 2025
- Individual RAUM · $26.3M to $33.6MDec 3, 2024 to Mar 28, 2025
- Pension RAUM · $16.0M to $4.9MDec 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $127M to $129MDec 3, 2024 to Mar 28, 2025
- RAUM · $602M to $622MDec 3, 2024 to Mar 28, 2025
- Private funds · 15 to 14Apr 26, 2024 to Nov 1, 2024
- Accounts · 248 to 276Dec 1, 2023 to Mar 5, 2024
- HNW clients · 86 to 92Dec 1, 2023 to Mar 5, 2024
- Individual clients · 67 to 64Dec 1, 2023 to Mar 5, 2024
- Pension plan clients · unset to 5.0Dec 1, 2023 to Mar 5, 2024
- Pooled vehicle clients · 16 to 15Dec 1, 2023 to Mar 5, 2024
- Assets in custody · $124M to $127MDec 1, 2023 to Mar 5, 2024
- Private funds · 16 to 15Dec 1, 2023 to Mar 5, 2024
- Discretionary RAUM · $532M to $602MDec 1, 2023 to Mar 5, 2024
- HNW RAUM · $342M to $417MDec 1, 2023 to Mar 5, 2024
Signals
5 dated events
- Adrienne L•••••• (Principal, Chief Operating Officer) appeared on Schedule A of P••••••• C•••••• I•••••••••Nov 1, 2024 · Control person joined · fact
- O••• C•••••• L•••••• (Trustee) appeared on Schedule A of P••••••• C•••••• I•••••••••Nov 1, 2024 · Control person joined · fact
- Charles Steven L•••••• (Principal/ Managing Principal) no longer on Schedule A of P••••••• C•••••• I••••••••• (listed 2024-04-26, absent 2024-11-01)Nov 1, 2024 · Control person left · inference
- P••••••• C•••••• I••••••••• reported RAUM $463.9M, up 47% from $316.4M (2019-03-11 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
- P••••••• C•••••• I••••••••• reported RAUM $316.4M, down 26% from $426.8M (2018-03-21 to 2019-03-11)Mar 11, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• I••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@p•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-310-8545reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P•••••••CAPITAL.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-337-5521reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- p•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.netreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $187Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P••••••• C•••••• I••••••••• 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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