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.

Former SEC-registered adviser

Titleist Capital, LLC

Former SEC-registered adviserSan Antonio, TexasCRD 126136SEC 801-80959IAPD
Latest filing Apr 5, 2023
First filing on the tape Feb 3, 2015 · 45 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
27 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2022
Mar 18, 2015$210M then
HNW client RAUM$420M as of Mar 31, 2022
Mar 30, 2018$108M then
State-registered IARs (5.B.3)26 as of Mar 31, 2023
Mar 18, 201510 then
Employees (5.A)32 as of Mar 31, 2023
Mar 18, 201525 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 26 to 26
Practice profile
derived from the filing of Apr 5, 2023; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.0derived13 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Joined, 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
    • Byron Lucien Fields · Managing Membercontrol
      since 01/2003 · owns 50% to 75%
    • Joe-Ben O'Banion · Managing Membercontrol
      since 01/2003 · owns 25% to 50%
    • Enrique Araiza · Chief Compliance Officer
      since 03/2020 · owns less than 5%
    • Neil Howard Kalb · Member
      since 07/2011 · owns less than 5%
    • Russell Clark King · Member
      since 03/2012 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list Titleist Capital, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Austin, TX5 employees
    • Dallas, TX3 employees
    • Webster, TX3 employees
    • Dallas, TX3 employees
    • Houston, TX1 employees
    • The Woodlands, TX1 employees
    • Rosario (2000), Argentina1 employees
    • New York, NY1 employees
    • Plano, TX1 employees
    • Dripping Springs, TX1 employees
    • The Woodlands, TX1 employees
    • Edmond, OK1 employees
    What changed
    consecutive filings, newest first
    • Business name · TITLEIST ASSET MANAGEMENT, LTD. to TITLEIST CAPITAL, LLC
      Mar 31, 2023 to Apr 5, 2023
    • Legal name · TITLEIST ASSET MANAGEMENT, LTD. to TITLEIST CAPITAL, LLC
      Mar 31, 2023 to Apr 5, 2023
    • Accounts · 3605.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Corporate clients · 13.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • HNW clients · 598.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Individual clients · 717.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Discretionary RAUM · 1001016141.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • HNW RAUM · 419577368.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Individual RAUM · 558181223.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Non-discretionary RAUM · 0.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • RAUM · 1001016141.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Wrap assets (manager) · 0.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Wrap assets (sponsor) · 0.0 to unset
      Mar 8, 2023 to Mar 31, 2023
    • Accounts · 3,517 to 3,605
      Jan 3, 2022 to Mar 31, 2022
    • Advisory employees · 16 to 27
      Jan 3, 2022 to Mar 31, 2022
    • Corporate clients · 12 to 13
      Jan 3, 2022 to Mar 31, 2022
    • HNW clients · 565 to 598
      Jan 3, 2022 to Mar 31, 2022
    • Individual clients · 678 to 717
      Jan 3, 2022 to Mar 31, 2022
    • Employees · 27 to 32
      Jan 3, 2022 to Mar 31, 2022
    • Insurance-licensed employees · 0 to 1
      Jan 3, 2022 to Mar 31, 2022
    • State-registered IARs · 18 to 26
      Jan 3, 2022 to Mar 31, 2022
    • Other offices · 11 to 12
      Jan 3, 2022 to Mar 31, 2022
    • Discretionary RAUM · $964M to $1.0B
      Jan 3, 2022 to Mar 31, 2022
    • HNW RAUM · $530M to $420M
      Jan 3, 2022 to Mar 31, 2022
    • Individual RAUM · $508M to $558M
      Jan 3, 2022 to Mar 31, 2022
    • Non-discretionary RAUM · $95.3M to $0
      Jan 3, 2022 to Mar 31, 2022
    • RAUM · $1.1B to $1.0B
      Jan 3, 2022 to Mar 31, 2022
    • Accounts · 3,174 to 3,517
      Jul 20, 2021 to Sep 9, 2021
    • Corporate clients · 9 to 12
      Jul 20, 2021 to Sep 9, 2021
    • HNW clients · 506 to 565
      Jul 20, 2021 to Sep 9, 2021
    • Individual clients · 610 to 678
      Jul 20, 2021 to Sep 9, 2021
    • Other offices · 10 to 11
      Jul 20, 2021 to Sep 9, 2021
    • Discretionary RAUM · $836M to $964M
      Jul 20, 2021 to Sep 9, 2021
    • HNW RAUM · $459M to $530M
      Jul 20, 2021 to Sep 9, 2021
    • Individual RAUM · $441M to $508M
      Jul 20, 2021 to Sep 9, 2021
    • Non-discretionary RAUM · $81.9M to $95.3M
      Jul 20, 2021 to Sep 9, 2021
    • RAUM · $918M to $1.1B
      Jul 20, 2021 to Sep 9, 2021
    • Accounts · 2,886 to 3,174
      Jun 24, 2021 to Jul 20, 2021
    • Corporate clients · 8 to 9
      Jun 24, 2021 to Jul 20, 2021
    • HNW clients · 460 to 506
      Jun 24, 2021 to Jul 20, 2021
    Signals
    18 dated events
    • Randall Wayne Fowler left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-17)
      Aug 8, 2023 · Advisor changed firm · fact
    • Roy Bryan Bly left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2024-09-12)
      Aug 8, 2023 · Advisor changed firm · fact
    • David Leo Smidebush left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-20)
      Aug 8, 2023 · Advisor changed firm · fact
    • Richard Michael Judd left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-17)
      Aug 8, 2023 · Advisor changed firm · fact
    • Enrique Araiza left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-17)
      Aug 8, 2023 · Advisor changed firm · fact
    • Mark Koellner left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-17)
      Aug 8, 2023 · Advisor changed firm · fact
    • Adam Denton Prewett left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-04-17)
      Aug 8, 2023 · Advisor changed firm · fact
    • Titleist Capital, LLC's advisors moved to Titleist Asset Management, LLC (San Antonio, TX): 6 of 7 registered, on the same day
      Aug 8, 2023 · Firm absorbed (people side) · derived
    • Alan Graff left Titleist Capital, Llc for Titleist Asset Management, Llc (registered 2023-03-17)
      Mar 17, 2023 · Advisor changed firm · fact
    • Austin Merle Graff left Titleist Capital, Llc for Shorebird Capital, Lp (registered 2022-03-25)
      Mar 9, 2023 · Advisor changed firm · fact
    • Andrew R Johnsen left Titleist Capital, Llc for Waterloo Capital (registered 2023-02-02)
      Mar 2, 2023 · Advisor changed firm · fact
    • Jeffrey A Lopez left Titleist Capital, Llc for Range Advisory, Llc (registered 2024-01-11)
      Jul 18, 2022 · Advisor changed firm · fact
    • Titleist Capital, Llc reported 18 state-registered advisory representatives, up from 7 (2020-07-16 to 2021-01-28)
      Jan 28, 2021 · Advisor headcount change · derived
    • Titleist Capital, Llc reported RAUM $831.2M, up 45% from $575.1M (2020-07-16 to 2021-01-28)
      Jan 28, 2021 · RAUM change · derived
    • Titleist Capital, Llc reported RAUM $537.0M, up 58% from $339.9M (2019-09-11 to 2020-05-01)
      May 1, 2020 · RAUM change · derived
    • Carl Lance Huntley (Chief Compliance Officer) no longer on Schedule A of Titleist Capital, Llc (listed 2019-09-11, absent 2020-05-01)
      May 1, 2020 · Control person left · inference
    • Carl Lance Huntley (Chief Compliance Officer) appeared on Schedule A of Titleist Capital, Llc
      Jul 25, 2019 · Control person joined · fact
    • Titleist Asset Management, Ltd. filed its initial SEC registration (Form ADV)
      Feb 3, 2015 · 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