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

I•••••• C•••••• M••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 128935SEC 801-62476IAPD
Latest filing Jun 19, 2020
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$12.0M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$12.0M gross assets
History
13 filings and snapshots on the tape
RAUM$25.9M as of Jan 18, 2019
Mar 30, 2012$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 18, 2019
Mar 30, 20120 then
Employees (5.A)3 as of Jan 18, 2019
Mar 26, 20133 then
Private funds3 as of Jan 18, 2019
Mar 30, 20125 then
RAUM -62% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 2020; 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
$6.0MderivedRAUM 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
-18%derivedbetween 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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$12.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•••••• E••••• C•••••• •••• L•••no longer reportedHedge Fund$53.2M25Mar 30, 2012
      M•••••• A•••••• I••••••••• S•••••• S••••••••• P••••••••no longer reportedHedge Fund$28.2M2Mar 30, 2012
      I•••••• P• F••• I• •••• L•••Hedge Fund$8.2M14Mar 26, 2013
      I•••••• E••••• M••••• F•••Hedge Fund$3.8M24Mar 30, 2012
      I•••••• E••••• C••••••• L•••no longer reportedHedge Fund$1.0M4Mar 30, 2012
      I•••••• P• F••• •••• L•••Hedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• G•••••• B•••• · Presidentcontrol
        since 08/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • I•••••• E••••• P••••••• I•• L•••
        pooled vehicle sponsory
      • I•••••• E••••• P•••••••• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 3 to 2
        Jun 12, 2020 to Jun 19, 2020
      • Discretionary RAUM · $25.9M to $12.0M
        Jan 18, 2019 to Apr 29, 2020
      • Pooled vehicle RAUM · $25.9M to $12.0M
        Jan 18, 2019 to Apr 29, 2020
      • RAUM · $25.9M to $12.0M
        Jan 18, 2019 to Apr 29, 2020
      • Accounts · 3 to 2
        Mar 29, 2018 to Jan 18, 2019
      • Pooled vehicle clients · 3 to 2
        Mar 29, 2018 to Jan 18, 2019
      • Discretionary RAUM · $31.6M to $25.9M
        Mar 29, 2018 to Jan 18, 2019
      • Pooled vehicle RAUM · $31.6M to $25.9M
        Mar 29, 2018 to Jan 18, 2019
      • RAUM · $31.6M to $25.9M
        Mar 29, 2018 to Jan 18, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2017 to Mar 29, 2018
      • Employees · 2 to 3
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $49.3M to $31.6M
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 31600000.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $49.3M to $31.6M
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $25.7M to $49.3M
        Aug 31, 2016 to Mar 28, 2017
      • RAUM · $25.7M to $49.3M
        Aug 31, 2016 to Mar 28, 2017
      • Advisory employees · 3 to 2
        Mar 25, 2015 to Mar 21, 2016
      • Employees · 3 to 2
        Mar 25, 2015 to Mar 21, 2016
      • Discretionary RAUM · $42.2M to $25.7M
        Mar 25, 2015 to Mar 21, 2016
      • RAUM · $42.2M to $25.7M
        Mar 25, 2015 to Mar 21, 2016
      • Advisory activities · 2 to 1
        Sep 29, 2014 to Mar 25, 2015
      • Assets in custody · unset to 0.0
        Sep 29, 2014 to Mar 25, 2015
      • Custody of client assets · false to true
        Sep 29, 2014 to Mar 25, 2015
      • Private funds · 5 to 3
        Sep 29, 2014 to Mar 25, 2015
      • Discretionary RAUM · $78.6M to $42.2M
        Sep 29, 2014 to Mar 25, 2015
      • RAUM · $78.6M to $42.2M
        Sep 29, 2014 to Mar 25, 2015
      • Accounts · 4 to 3
        Mar 26, 2013 to Mar 28, 2014
      • Discretionary RAUM · $90.1M to $78.6M
        Mar 26, 2013 to Mar 28, 2014
      • RAUM · $90.1M to $78.6M
        Mar 26, 2013 to Mar 28, 2014
      • Accounts · 3 to 4
        Mar 30, 2012 to Mar 26, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 26, 2013
      • Assets in custody · 122935759.0 to unset
        Mar 30, 2012 to Mar 26, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Mar 26, 2013
      • Discretionary RAUM · $123M to $90.1M
        Mar 30, 2012 to Mar 26, 2013
      • RAUM · $123M to $90.1M
        Mar 30, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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