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
H•••••• H•••••••• H•••••••• L••
Latest filing Mar 30, 2018
First filing on the tape Mar 29, 2012 · 23 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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.3B as of Mar 31, 2017
Mar 29, 2012$506M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2018
Mar 29, 20120 then
Employees (5.A)3 as of Mar 30, 2018
Mar 28, 201316 then
Private funds11 as of Mar 31, 2017
Mar 29, 20128 then
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 30, 2018; 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- 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
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourly, 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
- J•••• E••••• B••••• to B••••••• • B••••• A•••••••• L••Mar 27, 2019 · Other
- C•••• A•••••• H•••• to P•••••••• S••••••••• I•••Mar 25, 2008 · Other
Joined, latest
- J•••• E••••• B••••• from B••••• L••Jan 2, 2004 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• P••••••• C••••••• L••• | Private Equity Fund | $33.6M | 3 | Mar 29, 2012 |
| C••••• C•••• O••••• W•••• P•••••••• L•••no longer reported | Private Equity Fund | $1.7M | 2 | Mar 29, 2012 |
| K•• P••••••• M••••••••• L•• | Private Equity Fund | $1.5M | 2 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• E••••• · President And Membercontrolsince 06/2009 · owns 50% to 75%
- B•••••••• S••••• A•••• · Chief Executive Officer And Membercontrolsince 06/2009 · owns 50% to 75%
- W•••• F••••••••• W•••••• · Chief Investment Officer And Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••• • B••••• A•••••••• L••investment advisernRAUM $329M
- C••••• C•••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $1.2M
- C••••• C•••• I••••••••• L••investment adviserpooled vehicle sponsorn
- C••••• C•••• W•••• M••••••••• L••investment adviserpooled vehicle sponsorn
- G••••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsorn
- I•••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsorn
- R•• P••••••• I••••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- R•• P••••••• M••••••••• C••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 20.0 to unsetAug 3, 2017 to Mar 30, 2018
- Advisory activities · 3 to 1Aug 3, 2017 to Mar 30, 2018
- Insurance-licensed employees · 0 to 3Aug 3, 2017 to Mar 30, 2018
- Financial planning clients · 11-25 to unsetAug 3, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Aug 3, 2017 to Mar 30, 2018
- Discretionary RAUM · 0.0 to unsetAug 3, 2017 to Mar 30, 2018
- Non-discretionary RAUM · 1903726000.0 to unsetAug 3, 2017 to Mar 30, 2018
- RAUM · 1903726000.0 to unsetAug 3, 2017 to Mar 30, 2018
- Accounts · 22 to 20Jul 12, 2017 to Aug 3, 2017
- Advisory employees · 2 to 3Jul 12, 2017 to Aug 3, 2017
- Business name · B••••••• • B•••••• L•• to H•••••• H•••••••• H•••••••• L••Jul 12, 2017 to Aug 3, 2017
- Employees · 2 to 3Jul 12, 2017 to Aug 3, 2017
- Legal name · B••••••• • B•••••• L•• to H•••••• H•••••••• H•••••••• L••Jul 12, 2017 to Aug 3, 2017
- Non-discretionary RAUM · $2.0B to $1.9BJul 12, 2017 to Aug 3, 2017
- RAUM · $2.0B to $1.9BJul 12, 2017 to Aug 3, 2017
- Accounts · 32 to 22May 18, 2017 to Jul 12, 2017
- Advisory employees · 20 to 2May 18, 2017 to Jul 12, 2017
- Advisory activities · 5 to 3May 18, 2017 to Jul 12, 2017
- Employees · 25 to 2May 18, 2017 to Jul 12, 2017
- Financial planning clients · 26-50 to 11-25May 18, 2017 to Jul 12, 2017
- State-registered IARs · 3 to 2May 18, 2017 to Jul 12, 2017
- Private funds · 11 to unsetMay 18, 2017 to Jul 12, 2017
- Discretionary RAUM · $377M to $0May 18, 2017 to Jul 12, 2017
- Non-discretionary RAUM · $1.9B to $2.0BMay 18, 2017 to Jul 12, 2017
- RAUM · $2.3B to $2.0BMay 18, 2017 to Jul 12, 2017
- Accounts · 31 to 32Apr 8, 2016 to Mar 31, 2017
- Advisory employees · 17 to 20Apr 8, 2016 to Mar 31, 2017
- Employees · 21 to 25Apr 8, 2016 to Mar 31, 2017
- Private funds · 10 to 11Apr 8, 2016 to Mar 31, 2017
- Discretionary RAUM · $368M to $377MApr 8, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $1.3B to $1.9BApr 8, 2016 to Mar 31, 2017
- RAUM · $1.6B to $2.3BApr 8, 2016 to Mar 31, 2017
- Accounts · 28 to 31Apr 17, 2015 to Mar 30, 2016
- Advisory employees · 14 to 17Apr 17, 2015 to Mar 30, 2016
- Employees · 18 to 21Apr 17, 2015 to Mar 30, 2016
- Discretionary RAUM · $361M to $368MApr 17, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $778M to $1.3BApr 17, 2015 to Mar 30, 2016
- RAUM · $1.1B to $1.6BApr 17, 2015 to Mar 30, 2016
- Accounts · 25 to 28Jan 16, 2015 to Mar 31, 2015
- Advisory employees · 11 to 14Jan 16, 2015 to Mar 31, 2015
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- H•••••• H•••••••• H•••••••• L•• · Private Equityshared crd · organization
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