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•••••• R•••• C••••••• L••

Former SEC-registered adviserCRD 128421SEC 801-62385IAPD
Latest filing Jun 7, 2012
First filing on the tape Nov 21, 2011 · 5 filings
RAUM
$19.4M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19.4M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$628,549 gross assets
History
5 filings and snapshots on the tape
RAUM$19.4M as of Jun 7, 2012
Nov 21, 2011$33.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 7, 2012
Nov 21, 20110 then
Employees (5.A): no history
Private funds1 as of Jun 7, 2012
Mar 7, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 7, 2012; every figure names its basis
RAUM per advisor
$19.4MderivedRAUM 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
$404,344derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$628,549, 1 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
48reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$628,549 for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• W••• B•••••Dallas, TxOct 30, 200342 y0
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• A••••• P•••••••• L•••Hedge Fund$628,5492Mar 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J••••• W••• · Manager/Chief Compliance Officercontrol
        since 11/2003 · owns less than 5%
      • B•••••• P••••••••• F•••••••• · Manager Of A•••• LLC (General Partner Of A••••• L•••); Limited Partner A••••• L•••control
        since 08/2003 · owns 75% or more of A••••• L•••
      Entity owners
      • A••••• L••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 2
        Mar 7, 2012 to Apr 26, 2012
      • Accounts · 49 to 48
        Nov 21, 2011 to Mar 7, 2012
      • Assets in custody · $1.2M to $628,549
        Nov 21, 2011 to Mar 7, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 21, 2011 to Mar 7, 2012
      • Private funds · unset to 1
        Nov 21, 2011 to Mar 7, 2012
      • Discretionary RAUM · $33.5M to $19.3M
        Nov 21, 2011 to Mar 7, 2012
      • Non-discretionary RAUM · $0 to $133,095
        Nov 21, 2011 to Mar 7, 2012
      • RAUM · $33.5M to $19.4M
        Nov 21, 2011 to Mar 7, 2012
      Signals
      No event on the tape.
      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
      $19.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026