DFX Intelligence
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R•••• M••••••• P•••••• W••••• M••••••••• L•••••
Former SEC-registered adviserFormer SEC adviser2 private funds· Sugar Land, Texas
Former SEC-registered adviser, based in Sugar Land, Texas, reporting $23.5M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $23.5M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- -63%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $64.1MRAUM now $23.5M
Every filed figure, and the identifiersCRD 127140 · SEC 801-126829 · 24 filingsShowHide
CRD 127140SEC 801-126829First filing on the tape Mar 29, 2012, latest Mar 27, 2026SEC status approved since Nov 3, 2022IAPD
RAUM
$23.5M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$23.5M as of Mar 27, 2026
Mar 29, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 27, 2026
Mar 19, 20139 then
Private funds2 as of Mar 27, 2026
Mar 29, 20123 then
RAUM -63% over the last fiscal year-27% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $23.5MderivedRAUM 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
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -63%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $23.5M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.5M for 2 clientsreported
- Compensation
- % of AUM, 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
- W•••••• K••• Z•••••• to C•••••• W••••• M••••••••• L•Nov 28, 2005 · Other
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R• D••••••• P••••••• I•• L••• | Hedge Fund | $21.0M | 3 | Oct 4, 2022 |
| R• D••••••• P•••••••• L••• | Hedge Fund | $14.4M | 49 | Mar 29, 2012 |
| R• D••••••• P••••••• I••• L••• | Hedge Fund | $11.8M | 45 | Mar 29, 2012 |
| R• D••••••• P••••••• I•• L•••no longer reported | Hedge Fund | $7.6M | 37 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• G••••••• S••••• · President/Secretarycontrolsince 04/2003 · owns 50% to 75%
- G•••••••• T•••••• L•••• · Vice President/Controller/Chief Compliance Officercontrolsince 10/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
- G• A•••• M••••••••• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 5Mar 19, 2025 to Mar 27, 2026
- Advisory activities · 4 to 1Mar 19, 2025 to Mar 27, 2026
- Assets in custody · $31.6M to $23.5MMar 19, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 1Mar 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $64.1M to $23.5MMar 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $31.6M to $23.5MMar 19, 2025 to Mar 27, 2026
- RAUM · $64.1M to $23.5MMar 19, 2025 to Mar 27, 2026
- Accounts · 10 to 7Mar 20, 2024 to Mar 19, 2025
- Advisory employees · 2 to 1Mar 20, 2024 to Mar 19, 2025
- Advisory activities · 3 to 4Mar 20, 2024 to Mar 19, 2025
- Pension plan clients · 1.0 to unsetMar 20, 2024 to Mar 19, 2025
- Pooled vehicle clients · 3 to 2Mar 20, 2024 to Mar 19, 2025
- Assets in custody · $47.2M to $31.6MMar 20, 2024 to Mar 19, 2025
- Employees · 5 to 4Mar 20, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 19, 2025
- Private funds · 3 to 2Mar 20, 2024 to Mar 19, 2025
- Discretionary RAUM · $91.7M to $64.1MMar 20, 2024 to Mar 19, 2025
- Pension RAUM · 8679007.0 to unsetMar 20, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $47.2M to $31.6MMar 20, 2024 to Mar 19, 2025
- RAUM · $91.7M to $64.1MMar 20, 2024 to Mar 19, 2025
- Accounts · 14 to 10May 15, 2023 to Mar 20, 2024
- Assets in custody · $36.8M to $47.2MMay 15, 2023 to Mar 20, 2024
- Discretionary RAUM · $61.6M to $91.7MMay 15, 2023 to Mar 20, 2024
- Pension RAUM · $8.9M to $8.7MMay 15, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $36.8M to $47.2MMay 15, 2023 to Mar 20, 2024
- RAUM · $61.6M to $91.7MMay 15, 2023 to Mar 20, 2024
- Accounts · 4 to 14Jan 30, 2023 to Mar 28, 2023
- Assets in custody · $35.7M to $36.8MJan 30, 2023 to Mar 28, 2023
- Employees · 4 to 5Jan 30, 2023 to Mar 28, 2023
- Discretionary RAUM · $44.8M to $61.6MJan 30, 2023 to Mar 28, 2023
- Pension RAUM · $9.1M to $8.9MJan 30, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $35.7M to $36.8MJan 30, 2023 to Mar 28, 2023
- RAUM · $44.8M to $61.6MJan 30, 2023 to Mar 28, 2023
- Accounts · 41 to 4Jun 26, 2019 to Oct 4, 2022
- Advisory employees · 3 to 2Jun 26, 2019 to Oct 4, 2022
- BD registered reps · 0 to 1Jun 26, 2019 to Oct 4, 2022
- Corporate clients · 1.0 to unsetJun 26, 2019 to Oct 4, 2022
- Individual clients · 29.0 to unsetJun 26, 2019 to Oct 4, 2022
- Assets in custody · $41.6M to $35.7MJun 26, 2019 to Oct 4, 2022
- Employees · 5 to 4Jun 26, 2019 to Oct 4, 2022
Signals
3 dated events
- ••• LockedSep 1, 2026 · Left the SEC roster · derived
- ••• LockedOct 4, 2022 · First SEC registration · fact
- ••• LockedMar 28, 2019 · 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.
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