DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B••••••• I••••••••• L••

Other adviserSEC-registered2 private funds· Dallas, Texaswebsite

Other adviser, based in Dallas, Texas, reporting $139M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $139M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +9.6%
Private clients: 15%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 2 Mar 2026, RAUM $127M to $139M (+9.6%) on the Form ADV filed 2 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 131184 · SEC 801-72448 · 22 filingsShow

CRD 131184SEC 801-72448First filing on the tape Dec 19, 2011, latest Mar 2, 2026SEC status approved since Jun 13, 2011IAPD

RAUM

$139M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

15%

$21.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$69.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +6.9% a year over three years · the tape starts Dec 19, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$139M as of Mar 2, 2026

Mar 1, 2012$233M then

HNW client RAUM$21.5M as of Mar 2, 2026

Mar 31, 2025$10.1M then

State-registered IARs (5.B.3)2 as of Mar 2, 2026

Feb 28, 20132 then

Employees (5.A)3 as of Mar 2, 2026

Feb 28, 20134 then

Private funds2 as of Mar 2, 2026

Mar 1, 20122 then

RAUM +9.6% over the last fiscal year+6.9% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 2, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $69.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $21.5MderivedHNW RAUM over HNW clients
Average account: $46.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +9.6%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 individuals, 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)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

85% pooled investment vehicles, 15% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Pooled investment vehicles$118M85%
High-net-worth individuals$21.5M15%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 15% private clients, 85% pooled funds, 0% institutions; no related broker-dealer; a related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
T••• J••••••• S••••Chartered Financial Analyst	Dallas, Tx	Jul 6, 2004	22 y	0
S••••• P••• M•••••••	Dallas, Tx	Jul 6, 2004	22 y	0

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B••••••• C•••••• I•• L•••	Hedge Fund	$62.3M	42	Mar 1, 2012
B••••••• C••••••• L•••	Hedge Fund	$55.6M	22	Mar 1, 2012
N•••• A•• G•••••• C••••••• F•••• L••no longer reported	Hedge Fund	$1.0M	5	Mar 22, 2013

Owners and control persons

Schedule A and B, latest filing

C••• Y••••• M•• · Chief Compliance Officercontrol
since 03/2024 · owns less than 5%
M•••••••• S•••••• P••• · Elected Manager And Chief Investment Officercontrol
since 03/2004 · owns 50% to 75%
S••••• T•••• J••••••• · Elected Manager And Membercontrol
since 03/2004 · owns 50% to 75%

Related persons

Schedule D 7.A

B••••••• M••••••••• L•••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Dallas, Tx · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Nov 12, 2025 to Feb 27, 2026
Pooled vehicle clients · 3 to 2
Nov 12, 2025 to Feb 27, 2026
Discretionary RAUM · $127M to $139M
Nov 12, 2025 to Feb 27, 2026
HNW RAUM · $10.1M to $21.5M
Nov 12, 2025 to Feb 27, 2026
Pooled vehicle RAUM · $117M to $118M
Nov 12, 2025 to Feb 27, 2026

Full history · 68 changes

RAUM · $127M to $139M
Nov 12, 2025 to Feb 27, 2026
Related bank · false to true
Nov 12, 2025 to Feb 27, 2026
Accounts · 3 to 4
Mar 29, 2024 to Mar 31, 2025
Advisory activities · 1 to 2
Mar 29, 2024 to Mar 31, 2025
HNW clients · unset to 1.0
Mar 29, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 31, 2025
Discretionary RAUM · $121M to $127M
Mar 29, 2024 to Mar 31, 2025
HNW RAUM · unset to 10081047.0
Mar 29, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $121M to $117M
Mar 29, 2024 to Mar 31, 2025
RAUM · $121M to $127M
Mar 29, 2024 to Mar 31, 2025
Discretionary RAUM · $114M to $121M
Mar 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $114M to $121M
Mar 31, 2023 to Mar 29, 2024
RAUM · $114M to $121M
Mar 31, 2023 to Mar 29, 2024
Discretionary RAUM · $119M to $114M
Jul 1, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $119M to $114M
Jul 1, 2022 to Mar 31, 2023
RAUM · $119M to $114M
Jul 1, 2022 to Mar 31, 2023
Related bank · true to false
Jul 1, 2022 to Mar 31, 2023
Employees · 4 to 3
Mar 31, 2022 to Jul 1, 2022
Discretionary RAUM · $119M to $119M
Jan 7, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $119M to $119M
Jan 7, 2021 to Mar 31, 2022
RAUM · $119M to $119M
Jan 7, 2021 to Mar 31, 2022
Accounts · 2 to 3
Mar 30, 2020 to Jan 7, 2021
Pooled vehicle clients · 2 to 3
Mar 30, 2020 to Jan 7, 2021
Discretionary RAUM · $96.3M to $119M
Mar 30, 2020 to Jan 7, 2021
Pooled vehicle RAUM · $96.3M to $119M
Mar 30, 2020 to Jan 7, 2021
RAUM · $96.3M to $119M
Mar 30, 2020 to Jan 7, 2021
Discretionary RAUM · $100M to $96.3M
Mar 5, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $100M to $96.3M
Mar 5, 2019 to Mar 30, 2020
RAUM · $100M to $96.3M
Mar 5, 2019 to Mar 30, 2020
Discretionary RAUM · $140M to $100M
Mar 16, 2018 to Mar 5, 2019
Pooled vehicle RAUM · $140M to $100M
Mar 16, 2018 to Mar 5, 2019
RAUM · $140M to $100M
Mar 16, 2018 to Mar 5, 2019
Pooled vehicle clients · unset to 2.0
Feb 23, 2017 to Mar 16, 2018
Other offices · unset to 0.0
Feb 23, 2017 to Mar 16, 2018
Discretionary RAUM · $146M to $140M
Feb 23, 2017 to Mar 16, 2018
Pooled vehicle RAUM · unset to 139586778.0
Feb 23, 2017 to Mar 16, 2018
RAUM · $146M to $140M
Feb 23, 2017 to Mar 16, 2018
Discretionary RAUM · $133M to $146M
Mar 28, 2016 to Feb 23, 2017
RAUM · $133M to $146M
Mar 28, 2016 to Feb 23, 2017
Accounts · 4 to 2
Mar 4, 2015 to Mar 28, 2016
Advisory activities · 3 to 1
Mar 4, 2015 to Mar 28, 2016
Private funds · 3 to 2
Mar 4, 2015 to Mar 28, 2016
Discretionary RAUM · $176M to $133M
Mar 4, 2015 to Mar 28, 2016
RAUM · $176M to $133M
Mar 4, 2015 to Mar 28, 2016
Discretionary RAUM · $219M to $176M
Mar 7, 2014 to Mar 4, 2015
RAUM · $219M to $176M
Mar 7, 2014 to Mar 4, 2015
Accounts · 6 to 4
Mar 22, 2013 to Mar 4, 2014
Discretionary RAUM · $265M to $219M
Mar 22, 2013 to Mar 4, 2014
RAUM · $265M to $219M
Mar 22, 2013 to Mar 4, 2014
Private funds · 2 to 3
Feb 28, 2013 to Mar 22, 2013
Advisory employees · unset to 3.0
Oct 22, 2012 to Feb 28, 2013
Employees · unset to 4.0
Oct 22, 2012 to Feb 28, 2013
State-registered IARs · unset to 2.0
Oct 22, 2012 to Feb 28, 2013
Discretionary RAUM · $233M to $265M
Oct 22, 2012 to Feb 28, 2013
RAUM · $233M to $265M
Oct 22, 2012 to Feb 28, 2013
Advisory activities · 2 to 3
Dec 19, 2011 to Mar 1, 2012
Assets in custody · unset to 0.0
Dec 19, 2011 to Mar 1, 2012
Custody of client assets · false to true
Dec 19, 2011 to Mar 1, 2012
Insurance-licensed employees · unset to 0.0
Dec 19, 2011 to Mar 1, 2012
Private funds · unset to 2
Dec 19, 2011 to Mar 1, 2012
Discretionary RAUM · $251M to $233M
Dec 19, 2011 to Mar 1, 2012
RAUM · $251M to $233M
Dec 19, 2011 to Mar 1, 2012
Related bank · false to true
Dec 19, 2011 to Mar 1, 2012

Signals

2 dated events

••• Locked
Mar 29, 2024 · Control person joined · fact
••• Locked
Jul 1, 2022 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $69.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026