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••••••• C•••••• C•••••••••

Former SEC-registered adviserDallas, TexasCRD 132493SEC 801-63558IAPD
Latest filing Feb 20, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$76.4M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$76.4M gross assets
History
5 filings and snapshots on the tape
RAUM$76.4M as of Feb 20, 2014
Mar 30, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 20, 2014
Mar 30, 20120 then
Employees (5.A)2 as of Feb 20, 2014
Apr 1, 20137 then
Private funds1 as of Feb 20, 2014
Mar 30, 20122 then
RAUM -34% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Feb 20, 2014; every figure names its basis
RAUM per advisor
$76.4MderivedRAUM 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
$76.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-34%derivedbetween the last two annual amendments
Advisor growth, one year
-50%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 pooled vehiclesreportedItem 5.G
Custody
$76.4M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
$76.4M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• F••• L•Hedge Fund$54.0M36Mar 30, 2012
      S••••••• R••• H•••• L•Hedge Fund$29.0M31Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• E•••••• M•••••• · President & Chief Compliance Officercontrol
        since 09/1996 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Jul 9, 2013 to Feb 20, 2014
      • Assets in custody · $128M to $76.4M
        Jul 9, 2013 to Feb 20, 2014
      • Discretionary RAUM · $115M to $76.4M
        Jul 9, 2013 to Feb 20, 2014
      • RAUM · $115M to $76.4M
        Jul 9, 2013 to Feb 20, 2014
      • Advisory employees · 7 to 2
        Apr 1, 2013 to Jul 9, 2013
      • Assets in custody · unset to 128200000.0
        Apr 1, 2013 to Jul 9, 2013
      • Custody of client assets · false to true
        Apr 1, 2013 to Jul 9, 2013
      • Employees · 7 to 2
        Apr 1, 2013 to Jul 9, 2013
      • Financial planning clients · 0 to unset
        Apr 1, 2013 to Jul 9, 2013
      • HQ city · FORT WORTH to DALLAS
        Apr 1, 2013 to Jul 9, 2013
      • State-registered IARs · 2 to 1
        Apr 1, 2013 to Jul 9, 2013
      • Private funds · 2 to 1
        Apr 1, 2013 to Jul 9, 2013
      • Advisory employees · unset to 7.0
        Jun 18, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Jun 18, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 2
        Jun 18, 2012 to Apr 1, 2013
      • Discretionary RAUM · $128M to $115M
        Jun 18, 2012 to Apr 1, 2013
      • RAUM · $128M to $115M
        Jun 18, 2012 to Apr 1, 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.
      How to reach
      public business contact points only, each with its source
      Website
      P•••••••CAPITALCORP.COMreportedpublic record, Form ADV, Sep 19, 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
      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