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

P•••••• W••••• M••••••••• I•••

Former SEC-registered adviserHouston, TexasCRD 130447SEC 801-62779IAPD
Latest filing Jul 23, 2018
First filing on the tape Mar 29, 2012 · 24 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.9B as of Feb 20, 2018
Mar 29, 2012$842M then
HNW client RAUM: $1.8B
State-registered IARs (5.B.3)11 as of Feb 20, 2018
Mar 29, 20120 then
Employees (5.A)15 as of Feb 20, 2018
Feb 4, 201313 then
Private funds: no history
RAUM +17% over the last fiscal year+10% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Jul 23, 2018; every figure names its basis
RAUM per advisor
$169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$970,344derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$516M, 142 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8B96%
  • Individuals$61.4M3.3%
  • Other investment advisers$4.3M0.2%
Individual clients
157reported
HNW clients
393reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,921reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$516M for 142 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• T•••• E••••• · Principal/ Chief Compliance Officercontrol
      since 02/2004 · owns 10% to 25%
    • J••••• A••• M•••• · Principalcontrol
      since 12/2005 · owns 10% to 25%
    • L•••••• R•••••• C•••••• · Chief Investment Officercontrol
      since 07/2013 · owns less than 5%
    • M•••••• B•••••• S•••••• · Principalcontrol
      since 01/2007 · owns 10% to 25%
    • S••••••••• J••••••• R••••• · Principalcontrol
      since 02/2004 · owns 10% to 25%
    • W••••••••• D•••• N•••••••• · Principalcontrol
      since 12/2005 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list P•••••• W••••• M••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 515507000.0
      Jul 13, 2018 to Jul 23, 2018
    • Custody of client assets · false to true
      Jul 13, 2018 to Jul 23, 2018
    • Accounts · 1,865 to 1,921
      Feb 1, 2017 to Feb 20, 2018
    • HNW clients · unset to 393.0
      Feb 1, 2017 to Feb 20, 2018
    • Individual clients · unset to 157.0
      Feb 1, 2017 to Feb 20, 2018
    • State-registered IARs · 12 to 11
      Feb 1, 2017 to Feb 20, 2018
    • Other offices · unset to 0.0
      Feb 1, 2017 to Feb 20, 2018
    • Discretionary RAUM · $1.5B to $1.7B
      Feb 1, 2017 to Feb 20, 2018
    • HNW RAUM · unset to 1798345771.0
      Feb 1, 2017 to Feb 20, 2018
    • Individual RAUM · unset to 61422013.0
      Feb 1, 2017 to Feb 20, 2018
    • Non-discretionary RAUM · $128M to $132M
      Feb 1, 2017 to Feb 20, 2018
    • RAUM · $1.6B to $1.9B
      Feb 1, 2017 to Feb 20, 2018
    • Accounts · 1,777 to 1,865
      Jan 17, 2017 to Feb 1, 2017
    • Advisory employees · 14 to 13
      Jan 17, 2017 to Feb 1, 2017
    • Discretionary RAUM · $1.3B to $1.5B
      Jan 17, 2017 to Feb 1, 2017
    • Non-discretionary RAUM · $167M to $128M
      Jan 17, 2017 to Feb 1, 2017
    • RAUM · $1.5B to $1.6B
      Jan 17, 2017 to Feb 1, 2017
    • Accounts · 1,657 to 1,777
      Oct 29, 2015 to Mar 2, 2016
    • Advisory employees · 12 to 14
      Oct 29, 2015 to Mar 2, 2016
    • Employees · 13 to 15
      Oct 29, 2015 to Mar 2, 2016
    • Discretionary RAUM · $1.3B to $1.3B
      Oct 29, 2015 to Mar 2, 2016
    • Non-discretionary RAUM · $118M to $167M
      Oct 29, 2015 to Mar 2, 2016
    • RAUM · $1.4B to $1.5B
      Oct 29, 2015 to Mar 2, 2016
    • Advisory activities · 4 to 3
      Mar 2, 2015 to Apr 10, 2015
    • Accounts · 1,581 to 1,657
      Aug 13, 2014 to Mar 2, 2015
    • State-registered IARs · 11 to 12
      Aug 13, 2014 to Mar 2, 2015
    • Discretionary RAUM · $1.1B to $1.3B
      Aug 13, 2014 to Mar 2, 2015
    • Non-discretionary RAUM · $124M to $118M
      Aug 13, 2014 to Mar 2, 2015
    • RAUM · $1.2B to $1.4B
      Aug 13, 2014 to Mar 2, 2015
    • Advisory activities · 3 to 4
      Jun 11, 2014 to Aug 13, 2014
    • Accounts · 1,514 to 1,581
      Aug 16, 2013 to Mar 17, 2014
    • State-registered IARs · 12 to 11
      Aug 16, 2013 to Mar 17, 2014
    • Discretionary RAUM · $1.0B to $1.1B
      Aug 16, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $85.6M to $124M
      Aug 16, 2013 to Mar 17, 2014
    • RAUM · $1.1B to $1.2B
      Aug 16, 2013 to Mar 17, 2014
    • Accounts · 1,091 to 1,514
      Mar 29, 2012 to Feb 4, 2013
    • Advisory employees · unset to 12.0
      Mar 29, 2012 to Feb 4, 2013
    • Employees · unset to 13.0
      Mar 29, 2012 to Feb 4, 2013
    • State-registered IARs · 0 to 12
      Mar 29, 2012 to Feb 4, 2013
    • Discretionary RAUM · $819M to $1.0B
      Mar 29, 2012 to Feb 4, 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