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

N•• I••••••••• A••••••• L•

Former SEC-registered adviserHouston, TexasCRD 132049SEC 801-63264IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$293M
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$293M as of Mar 27, 2014
Mar 30, 2012$257M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2014
Mar 30, 20120 then
Employees (5.A)10 as of Mar 27, 2014
Mar 28, 201311 then
Private funds: no history
RAUM -6.3% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$293MderivedRAUM 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
$293MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-6.3%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 investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• L••••• S•••• · Chief Compliance Officer/Cfocontrol
        since 08/2011 · owns less than 5%
      • G••••••• S••••••• K••• · President & Ceocontrol
        since 02/2011 · owns less than 5%
      • H••••• K••••••• A•••• · L•••••• Partnercontrol
        since 06/2007 · owns 25% to 50% of Ecm Capital L.P.
      • H••••• K••••••• A•••• · Membercontrol
        since 03/2008 · owns 50% to 75% of E••• Gp, L.L.C
      Entity owners
      • N•• A••••••••• L•• · General Partner
        direct · owns less than 5%
      • E•• C••••••• L• · Member
        indirect · owns 50% to 75% of Ngp Management Company, L.L.C.
      • E••• G•• L••••• · General Partner
        indirect · owns F of Ecm Capital, L.P.
      • N•• E••••• C•••••• M••••••••• L••••• · L•••••• Partner
        direct · owns 75% or more
      • B••••••• B••• P•• · Owner
        indirect · owns 75% or more of N•••••••• I••••••••• L•••••• · public reporting company
      • C•••••• H••••••• I• G• I••• · Member
        indirect · owns 75% or more of C•••••• Holdings I Gp Sub L.L.C.
      • C•••••• H••••••• I• G• S•• L••••• · General Partner
        indirect · owns F of C•••••• H••••••• I• L•••
      • C•••••• H••••••• I• L••• · Managing Member
        indirect · owns 75% or more of T• G••••• L•••••
      • C•••••• K••• H•••••••• L••••• · Owner
        indirect · owns 25% to 50% of Ngp Management Company, L.L.C.
      • C•• ••••••••• I••• · Managing Member
        indirect · owns F of C•••••• K••• H•••••••• L•••••
      • C••• A••••••••• N•• 1• L•• · Member
        indirect · owns 25% to 50% of N•• E••••• C•••••• M••••••••• L•••••
      • C••• E••••• N•• 1• I••• · Owner
        indirect · owns 75% or more of C••• H••••••• N•• 1• L••
      • C••• F•••••• N•• 1• L•• · Owner
        indirect · owns 75% or more of C••• A••••••••• No. 1, LLC
      • C••• H••••••• N•• 1• L•• · Owner
        indirect · owns 75% or more of C••• Finance No. 1, LLC
      • C••• I••••••••• N•• 1• L•••••• · Owner
        indirect · owns 75% or more of C••• E••••• N•• 1• I•••
      • N•••••••• I••••••••• L•••••• · Owner
        indirect · owns 75% or more of C••• I••••••••• N•• 1• L••••••
      • T• G••••• L••••• · Shareholder
        indirect · owns 75% or more of C•• ••••••••• I•••
      • T• G••••••••• · Member
        indirect · owns 75% or more of C•••••• K••• H•••••••• L•••••
      • T•• C•••••• G•••• L••• · Shareholder
        indirect · owns 75% or more of Caryle Holdings I Gp Inc. · public reporting company
      Related persons
      Schedule D 7.A
      • Ngp
        investment advisernRAUM $11B
      Offices
      Schedule D 1.F, the 25 largest
      • Irving, TX
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 7
        Mar 28, 2013 to Mar 27, 2014
      • Employees · 11 to 10
        Mar 28, 2013 to Mar 27, 2014
      • Discretionary RAUM · $312M to $293M
        Mar 28, 2013 to Mar 27, 2014
      • RAUM · $312M to $293M
        Mar 28, 2013 to Mar 27, 2014
      • Discretionary RAUM · $257M to $312M
        Oct 29, 2012 to Mar 28, 2013
      • RAUM · $257M to $312M
        Oct 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Oct 29, 2012
      • Employees · unset to 11.0
        Mar 30, 2012 to Oct 29, 2012
      • State-registered IARs · 0 to 1
        Mar 30, 2012 to Oct 29, 2012
      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