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•••••• C•••••• L•••

Former SEC-registered adviserHouston, TexasCRD 129852SEC 801-62642IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$438M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$438M gross assets
History
11 filings and snapshots on the tape
RAUM$438M as of Mar 29, 2017
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2017
Mar 30, 20120 then
Employees (5.A)5 as of Mar 29, 2017
Mar 28, 20134 then
Private funds2 as of Mar 29, 2017
Mar 30, 20121 then
RAUM -4.9% over the last fiscal year-35% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
$146MderivedRAUM 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
$219MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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
$438M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$438M 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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
H•••••• I••••••••• P••••••••• L•••Hedge Fund$410M117Mar 30, 2012
H•• E••••• P••••••••• L•••Hedge Fund$27.5M14Mar 30, 2016
Owners and control persons
Schedule A and B, latest filing
  • H••••••• R••••••• B•••• · President And Chief Executive Officercontrol
    since 11/2003 · owns 25% to 50%
  • J•••••• J••••••• M•••••• · Directorcontrol
    since 11/2015 · owns 25% to 50%
  • R••••••• E••••••••• S•••••• · Chief Investment Officer, Managing Director And Chief Compliance Officercontrol
    since 05/2015 · owns 25% to 50%
  • H••••••• R••••••• B•••• · Presidentcontrol
    since 11/2003 · owns 25% to 50% of H•••••• C•••••• ••• L•••••
  • J•••••• J••••••• M•••••• · Directorcontrol
    since 01/2016 · owns 25% to 50% of H•••••• C•••••• ••• L•••••
  • R••••••• E••••••••• S•••••• · Managing Directorcontrol
    since 01/2016 · owns 25% to 50% of H•••••• C•••••• ••• L•••••
Entity owners
  • H•••••• C•••••• ••• L••••• · General Partner
    direct · owns less than 5%
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
  • Assets in custody · $461M to $438M
    Apr 25, 2016 to Mar 29, 2017
  • Discretionary RAUM · $461M to $438M
    Apr 25, 2016 to Mar 29, 2017
  • RAUM · $461M to $438M
    Apr 25, 2016 to Mar 29, 2017
  • Accounts · 1 to 2
    May 8, 2015 to Mar 30, 2016
  • Advisory employees · 3 to 4
    May 8, 2015 to Mar 30, 2016
  • Assets in custody · $1.2B to $461M
    May 8, 2015 to Mar 30, 2016
  • Employees · 4 to 5
    May 8, 2015 to Mar 30, 2016
  • State-registered IARs · 2 to 3
    May 8, 2015 to Mar 30, 2016
  • Private funds · 1 to 2
    May 8, 2015 to Mar 30, 2016
  • Discretionary RAUM · $1.2B to $461M
    May 8, 2015 to Mar 30, 2016
  • RAUM · $1.2B to $461M
    May 8, 2015 to Mar 30, 2016
  • Assets in custody · $1.3B to $1.2B
    Mar 30, 2015 to May 8, 2015
  • Discretionary RAUM · $1.3B to $1.2B
    Mar 30, 2015 to May 8, 2015
  • RAUM · $1.3B to $1.2B
    Mar 30, 2015 to May 8, 2015
  • Assets in custody · $1.6B to $1.3B
    Mar 14, 2014 to Mar 28, 2015
  • Discretionary RAUM · $1.6B to $1.3B
    Mar 14, 2014 to Mar 28, 2015
  • RAUM · $1.6B to $1.3B
    Mar 14, 2014 to Mar 28, 2015
  • Assets in custody · $1.4B to $1.6B
    May 31, 2013 to Mar 14, 2014
  • Discretionary RAUM · $1.4B to $1.6B
    May 31, 2013 to Mar 14, 2014
  • RAUM · $1.4B to $1.6B
    May 31, 2013 to Mar 14, 2014
  • Assets in custody · $1.4B to $1.4B
    Mar 28, 2013 to May 31, 2013
  • Discretionary RAUM · $1.4B to $1.4B
    Mar 28, 2013 to May 31, 2013
  • RAUM · $1.4B to $1.4B
    Mar 28, 2013 to May 31, 2013
  • Advisory employees · unset to 3.0
    May 21, 2012 to Mar 28, 2013
  • Assets in custody · $1.2B to $1.4B
    May 21, 2012 to Mar 28, 2013
  • Employees · unset to 4.0
    May 21, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 2
    May 21, 2012 to Mar 28, 2013
  • Discretionary RAUM · $1.3B to $1.4B
    May 21, 2012 to Mar 28, 2013
  • RAUM · $1.3B to $1.4B
    May 21, 2012 to Mar 28, 2013
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026