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•••••••• A•••••••• L••

Former SEC-registered adviserFort Worth, TexasCRD 127639SEC 801-119155IAPD
Latest filing Mar 29, 2022
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$306M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$306M gross assets
History
7 filings and snapshots on the tape
RAUM$306M as of Mar 29, 2022
Mar 30, 2012$661M then
HNW client RAUM$0 as of Mar 29, 2022
Mar 30, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 30, 20120 then
Employees (5.A)8 as of Mar 29, 2022
Apr 1, 20139 then
Private funds1 as of Mar 29, 2022
Mar 30, 20126 then
RAUM -61% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$102MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-61%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$306M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••• M••••• F•••• L•••no longer reportedHedge Fund$154M6Mar 30, 2012
      E••••••• D••••••••• M••••• F•••• L•••no longer reportedHedge Fund$48.5M230Mar 30, 2012
      C•••••••• M••••• F••• I•• L•Hedge Fund$42.5M43Sep 8, 2017
      C•••••••• C•••• O••••••••• M••••• F•••• L•••no longer reportedHedge Fund$25.8M92Mar 30, 2012
      E••••••• D••••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$22.0M54Mar 30, 2012
      C•••••••• M••••• F•••• L•••no longer reportedHedge Fund$14.4M137Mar 30, 2012
      C•••••••• C•••• O••••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$10.9M79Mar 30, 2012
      C•••••••• C•••• O••••••••• M••••• F••• I••• L•••no longer reportedHedge Fund$00Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• M••••••• H•••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • H•••• M•••• L•••••••• · Member, Chief Executive Officercontrol
        since 10/2003 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••••• E••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 8
        Mar 30, 2021 to Mar 29, 2022
      • Discretionary RAUM · $787M to $306M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $787M to $306M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $787M to $306M
        Mar 30, 2021 to Mar 29, 2022
      • Employees · 8 to 9
        Jun 26, 2020 to Mar 30, 2021
      • Discretionary RAUM · $263M to $787M
        Jun 26, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $263M to $787M
        Jun 26, 2020 to Mar 30, 2021
      • RAUM · $263M to $787M
        Jun 26, 2020 to Mar 30, 2021
      • Accounts · 12 to 3
        Oct 10, 2013 to Jun 26, 2020
      • Advisory employees · 3 to 5
        Oct 10, 2013 to Jun 26, 2020
      • Charity clients · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Corporate clients · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • HNW clients · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Individual clients · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Pension plan clients · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Pooled vehicle clients · unset to 3.0
        Oct 10, 2013 to Jun 26, 2020
      • Assets in custody · 0.0 to unset
        Oct 10, 2013 to Jun 26, 2020
      • Custody of client assets · true to false
        Oct 10, 2013 to Jun 26, 2020
      • Employees · 9 to 8
        Oct 10, 2013 to Jun 26, 2020
      • Other offices · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Private funds · 4 to 2
        Oct 10, 2013 to Jun 26, 2020
      • Discretionary RAUM · $118M to $263M
        Oct 10, 2013 to Jun 26, 2020
      • HNW RAUM · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Individual RAUM · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Pension RAUM · unset to 0.0
        Oct 10, 2013 to Jun 26, 2020
      • Pooled vehicle RAUM · unset to 263431194.0
        Oct 10, 2013 to Jun 26, 2020
      • RAUM · $118M to $263M
        Oct 10, 2013 to Jun 26, 2020
      • Related adviser · true to false
        Oct 10, 2013 to Jun 26, 2020
      • Related bank · false to true
        Oct 10, 2013 to Jun 26, 2020
      • Private funds · 2 to 1
        Jun 26, 2020 to Jun 26, 2020
      • Accounts · 18 to 12
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · 6 to 4
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $661M to $118M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $661M to $118M
        Mar 30, 2012 to Apr 1, 2013
      • Related bank · true to false
        Mar 30, 2012 to Apr 1, 2013
      Signals
      9 dated events
      • C•••••••• A•••••••• L•• reported RAUM $305.7M, down 61% from $786.7M (2021-03-30 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • William Worth Wray (Head Of Macro) no longer on Schedule A of C•••••••• A•••••••• L•• (listed 2021-03-30, absent 2022-03-29)
        Mar 29, 2022 · Control person left · inference
      • C•••••••• A•••••••• L•• reported RAUM $786.7M, up 199% from $263.4M (2020-06-26 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • C•••••••• A•••••••• L•• reported RAUM $263.4M, up 123% from $118.2M (2013-10-10 to 2020-06-26)
        Jun 26, 2020 · RAUM change · derived
      • William Worth Wray (Macro Analyst & Head Of Marketing/Investor Relations) appeared on Schedule A of C•••••••• A•••••••• L••
        Jun 26, 2020 · Control person joined · fact
      • Heath Matthew Gilman (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of C•••••••• A•••••••• L••
        Jun 26, 2020 · Control person joined · fact
      • Nilkanth Yatrik Munshi (Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of C•••••••• A•••••••• L•• (listed 2013-10-10, absent 2020-06-26)
        Jun 26, 2020 · Control person left · inference
      • Lee Janet Evans (Chief Compliance Officer) no longer on Schedule A of C•••••••• A•••••••• L•• (listed 2013-10-10, absent 2020-06-26)
        Jun 26, 2020 · Control person left · inference
      • C•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 26, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      C••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 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
      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