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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SEC-registered adviser
C•••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jan 31, 2012 · 29 filings
SEC status approved since Dec 14, 2005
RAUM
$856M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
26
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$856M as of Mar 30, 2026
Jan 31, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 31, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Apr 1, 201314 then
Private funds26 as of Mar 30, 2026
Jan 31, 201221 then
RAUM +19% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $171MderivedRAUM 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
- $32.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $856M, 26 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
- Pooled investment vehicles$856M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $856M for 26 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W•••••• T•••••• | Dalas, Tx | Oct 5, 2004 | 25 y | 2 |
| R•••••• K••• M••••••• | Dallas, Tx | Oct 5, 2004 | 24 y | 2 |
| A•••• R•••• D•••• | Dallas, Tx | Jan 5, 2005 | 22 y | 2 |
| J••• A•••••••• S•••••• | Dallas, Tx | Dec 9, 2005 | 21 y | 2 |
| J••• E••• B•••••• | Dallas, Tx | May 8, 2006 | 40 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••• E••••• S••••••• to C•••••• M••••••••• L•May 26, 2021 · Other
Joined, latest
- J••• E••• B•••••• from C••••••• P••••• M••••• G••••• L•••May 8, 2006 · Other
- J••• A•••••••• S•••••• from C••••••• P••••• M••••• G••••• L•••Dec 9, 2005 · Other
- A•••• R•••• D•••• from C••••••• P••••• M••••• G••••• L•••Jan 5, 2005 · Other
- J•••• W•••••• T•••••• from C••••••• P••••• M••••• G••••• L•••Oct 5, 2004 · Other
- R•••••• K••• M••••••• from C••••••• P••••• M••••• G••••• L•••Oct 5, 2004 · Other
Private funds
44 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• T••••• P••••••••• L• | Private Equity Fund | $211M | 55 | Mar 31, 2016 |
| B•••••• R•••••••• L• | Private Equity Fund | $171M | 55 | Mar 26, 2014 |
| C••••••• L• | Private Equity Fund | $101M | 49 | Feb 23, 2022 |
| Y••••• W••••••• L••• | Private Equity Fund | $86.8M | 8 | Jan 31, 2012 |
| R••••••••• F•••• L••• | Private Equity Fund | $75.1M | 7 | Jan 31, 2012 |
| C• L••••••••• F•••• L•••no longer reported | Other Private Fund | $63.5M | 10 | Jan 31, 2012 |
| G••••••••• L• | Private Equity Fund | $62.7M | 5 | Mar 31, 2015 |
| M•••••• F•••• L••• | Private Equity Fund | $47.6M | 7 | Jan 31, 2012 |
| W••••••• P•••••••• L• | Private Equity Fund | $44.5M | 63 | Mar 30, 2020 |
| C••••• P•••••••• L• | Private Equity Fund | $42.3M | 32 | Aug 22, 2022 |
| K••••••• F•••• L••• | Private Equity Fund | $41.7M | 1 | Jan 31, 2012 |
| O•••••• L• | Private Equity Fund | $40.5M | 59 | Mar 31, 2023 |
| M••••••• L• | Private Equity Fund | $35.6M | 43 | Aug 24, 2023 |
| C• 2••• L••••••••• F•••• L•••no longer reported | Other Private Fund | $31.9M | 19 | Jan 31, 2012 |
| S•••• O••• L• | Private Equity Fund | $28.7M | 58 | May 25, 2022 |
| M•••••• L• | Private Equity Fund | $25.6M | 48 | Aug 24, 2023 |
| K•••••• F•••• L••• | Private Equity Fund | $23.8M | 80 | Jan 31, 2012 |
| N•••••••• P•••••••• L• | Private Equity Fund | $23.7M | 2 | Aug 28, 2018 |
| B••••••••• L• | Private Equity Fund | $14.0M | 16 | Mar 29, 2018 |
| S•••••••• F•••• L••• | Private Equity Fund | $13.4M | 7 | Jan 31, 2012 |
| V••••• F•••• L•••no longer reported | Hedge Fund | $9.4M | 38 | Jan 31, 2012 |
| C••••••• W••••••• L• | Private Equity Fund | $7.1M | 18 | Mar 29, 2018 |
| C••••• F•••• L• | Private Equity Fund | $6.7M | 8 | Mar 26, 2014 |
| P••••• F•••• L• | Private Equity Fund | $6.3M | 8 | Mar 31, 2016 |
| B••••• O•• P•••••••• L• | Private Equity Fund | $5.4M | 5 | Mar 29, 2018 |
| C• F•••• L••• | Private Equity Fund | $5.1M | 8 | Jan 31, 2012 |
| W••••• F•••• L••• | Private Equity Fund | $3.6M | 28 | Jan 31, 2012 |
| I•••••••• L• | Private Equity Fund | $3.3M | 28 | Nov 16, 2020 |
| E•••••• P•••••••• L• | Private Equity Fund | $2.5M | 3 | Aug 29, 2019 |
| W••••••••• P•••••••• L•no longer reported | Hedge Fund | $2.4M | 10 | Mar 26, 2014 |
| P•••••• F•••• L•••no longer reported | Hedge Fund | $1.4M | 9 | Jan 31, 2012 |
| F••••••• F•••• L•••no longer reported | Hedge Fund | $581,000 | 1 | Jan 31, 2012 |
| C•••••• C••••• L••• | Private Equity Fund | $548,000 | 6 | Jan 31, 2012 |
| C•••••• R••••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $338,656 | 14 | Aug 29, 2012 |
| C••••• S••••••• L•no longer reported | Hedge Fund | $274,208 | 12 | Aug 29, 2012 |
| R•••••• L••• S••••••• P•••••••• L••• | Private Equity Fund | $61,696 | 3 | Jan 31, 2012 |
| A••••• F•••• L•••no longer reported | Private Equity Fund | $28,353 | 5 | Jan 31, 2012 |
| P••••• F•••• L•••no longer reported | Private Equity Fund | $26,000 | 11 | Jan 31, 2012 |
| R••••• F•••• L• | Private Equity Fund | $469 | 7 | Nov 16, 2020 |
| T•••••• F•••• L•••no longer reported | Private Equity Fund | $248 | 7 | Jan 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••• E••• · President/Chief Compliance Officercontrolsince 07/2007 · owns less than 5%
- D••••• A••••• R•••• · Managing Partnercontrolsince 07/2022 · owns 50% to 75%
- M•••••••• R••••••• K••• · Managing Partnercontrolsince 07/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 27 to 26Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $717M to $856MMar 28, 2025 to Mar 30, 2026
- Employees · 6 to 7Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $717M to $856MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $717M to $856MMar 28, 2025 to Mar 30, 2026
- RAUM · $717M to $856MMar 28, 2025 to Mar 30, 2026
- Accounts · 26 to 27Mar 27, 2024 to Mar 28, 2025
- Pooled vehicle clients · 25 to 26Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $1.0B to $717MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Private funds · 25 to 26Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $717MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $717MMar 27, 2024 to Mar 28, 2025
- RAUM · $1.0B to $717MMar 27, 2024 to Mar 28, 2025
- Accounts · 28 to 26Aug 24, 2023 to Mar 27, 2024
- Pooled vehicle clients · 27 to 25Aug 24, 2023 to Mar 27, 2024
- Assets in custody · $1.2B to $1.0BAug 24, 2023 to Mar 27, 2024
- Employees · 7 to 6Aug 24, 2023 to Mar 27, 2024
- Private funds · 30 to 25Aug 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.0BAug 24, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.2B to $1.0BAug 24, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.0BAug 24, 2023 to Mar 27, 2024
- Private funds · 28 to 30Mar 31, 2023 to Aug 24, 2023
- Accounts · 29 to 28Oct 5, 2022 to Mar 31, 2023
- Advisory employees · 9 to 2Oct 5, 2022 to Mar 31, 2023
- Pooled vehicle clients · 26 to 27Oct 5, 2022 to Mar 31, 2023
- Assets in custody · $2.0B to $1.2BOct 5, 2022 to Mar 31, 2023
- Employees · 15 to 7Oct 5, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Oct 5, 2022 to Mar 31, 2023
- Private funds · 27 to 28Oct 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.1B to $1.2BOct 5, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.0B to $1.2BOct 5, 2022 to Mar 31, 2023
- RAUM · $2.1B to $1.2BOct 5, 2022 to Mar 31, 2023
- Private funds · 26 to 27May 25, 2022 to Aug 22, 2022
- Private funds · 25 to 26May 12, 2022 to May 25, 2022
- Accounts · 28 to 29Feb 23, 2022 to Mar 31, 2022
- Advisory employees · 7 to 9Feb 23, 2022 to Mar 31, 2022
- Pooled vehicle clients · 25 to 26Feb 23, 2022 to Mar 31, 2022
- Assets in custody · $2.2B to $2.0BFeb 23, 2022 to Mar 31, 2022
- Employees · 13 to 15Feb 23, 2022 to Mar 31, 2022
Signals
9 dated events
- C•••• I••• reported RAUM $717.3M, down 31% from $1.0B (2024-03-27 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•••• I••• reported RAUM $1.2B, down 44% from $2.1B (2022-10-05 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Rohit Antal Desai (Managing Director) appeared on Schedule A of C•••• I•••Mar 31, 2023 · Control person joined · fact
- C•••• I••• reported RAUM $2.4B, down 26% from $3.2B (2021-01-04 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Edmund Ryan Schedler (Managing Director, C•••• I•••) no longer on Schedule A of C•••• I••• (listed 2020-11-16, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- Jay Bradley Shisler (Managing Director, C•••• I•••) no longer on Schedule A of C•••• I••• (listed 2020-11-16, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- C•••• I••• reported RAUM $3.9B, up 47% from $2.6B (2019-08-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- William James Traweek (Managing Director, C•••• I•••) no longer on Schedule A of C•••• I••• (listed 2019-08-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C•••• I••• reported RAUM $2.6B, up 31% from $2.0B (2018-08-28 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••• I••• · Independent Sponsorsshared crd · capital_provider
- C•••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-871-6829reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026