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

C•••••• C•••••• P•••••••• L•••

Former SEC-registered adviserSouthlake, TexasCRD 132117SEC 801-63395IAPD
Latest filing Mar 27, 2018
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$103M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$77.7M gross assets
History
8 filings and snapshots on the tape
RAUM$103M as of Mar 27, 2018
Mar 30, 2012$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 30, 20120 then
Employees (5.A)4 as of Mar 27, 2018
Mar 26, 20134 then
Private funds1 as of Mar 27, 2018
Mar 30, 20121 then
RAUM +12% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$51.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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 pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$77.7M, 1 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$77.7M75%
  • Investment companies$25.4M25%
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
$77.7M for 1 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• V•••• F•••• L•Hedge Fund$77.7M63Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M••••••• E•••••• · Limited Partner And Chief Compliance Officercontrol
        since 04/2002 · owns 50% to 75%
      • A•••••• M••••••• E•••••• · Sole Membercontrol
        since 04/2002 · owns 75% or more of A••••• E••••••••• L••
      • G••••••• T•••••• J••••• · Sole Membercontrol
        since 07/2004 · owns 75% or more of G•••••• C•••••• C••••••• L••
      • L•••• R•••• A•••••• · Membercontrol
        since 10/2004 · owns 25% to 50% of M•••••••• V•••••• P•••••••• L••
      • S•••••••• J•••• L•••••• · Trusteecontrol
        since 10/1992 · owns 75% or more of J••• L• S••••••• T••••
      Entity owners
      • A••••• E••••••••• L•• · General Partner
        direct · owns less than 5%
      • G•••••• C•••••• C••••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • J••• L• S••••••• T•••• · Limited Partner
        direct · owns 5% to 10%
      • M•••••••• V•••••• P•••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • A••••• E••••••••• L••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 27, 2018
      • Assets in custody · $65.6M to $77.7M
        Mar 30, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $92.3M to $103M
        Mar 30, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 77664329.0
        Mar 30, 2017 to Mar 27, 2018
      • RAUM · $92.3M to $103M
        Mar 30, 2017 to Mar 27, 2018
      • Assets in custody · $60.7M to $65.6M
        Mar 22, 2016 to Mar 30, 2017
      • Discretionary RAUM · $89.3M to $92.3M
        Mar 22, 2016 to Mar 30, 2017
      • RAUM · $89.3M to $92.3M
        Mar 22, 2016 to Mar 30, 2017
      • Assets in custody · $71.7M to $60.7M
        Mar 23, 2015 to Mar 22, 2016
      • Discretionary RAUM · $116M to $89.3M
        Mar 23, 2015 to Mar 22, 2016
      • RAUM · $116M to $89.3M
        Mar 23, 2015 to Mar 22, 2016
      • Advisory employees · 3 to 2
        Mar 25, 2014 to Mar 23, 2015
      • Assets in custody · $104M to $71.7M
        Mar 25, 2014 to Mar 23, 2015
      • Employees · 5 to 4
        Mar 25, 2014 to Mar 23, 2015
      • Discretionary RAUM · $166M to $116M
        Mar 25, 2014 to Mar 23, 2015
      • RAUM · $166M to $116M
        Mar 25, 2014 to Mar 23, 2015
      • Assets in custody · $96.4M to $104M
        Oct 31, 2013 to Mar 25, 2014
      • Employees · 4 to 5
        Oct 31, 2013 to Mar 25, 2014
      • Discretionary RAUM · $163M to $166M
        Oct 31, 2013 to Mar 25, 2014
      • RAUM · $163M to $166M
        Oct 31, 2013 to Mar 25, 2014
      • Assets in custody · $101M to $96.4M
        Mar 26, 2013 to Oct 31, 2013
      • Discretionary RAUM · $162M to $163M
        Mar 26, 2013 to Oct 31, 2013
      • RAUM · $162M to $163M
        Mar 26, 2013 to Oct 31, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 26, 2013
      • Assets in custody · $101M to $101M
        Mar 30, 2012 to Mar 26, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Mar 26, 2013
      • Discretionary RAUM · $180M to $162M
        Mar 30, 2012 to Mar 26, 2013
      • RAUM · $180M to $162M
        Mar 30, 2012 to Mar 26, 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