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Former SEC-registered adviser

C••••• C•••••• P•••••••• L•••

Former SEC-registered adviserThe Woodlands, TexasCRD 133110SEC 801-63765IAPD
Latest filing Mar 6, 2020
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$572M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$483M gross assets
History
14 filings and snapshots on the tape
RAUM$572M as of Mar 6, 2020
Mar 29, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 6, 2020
Mar 20, 20132 then
Employees (5.A)5 as of Mar 6, 2020
Mar 20, 20133 then
Private funds2 as of Mar 6, 2020
Mar 29, 20121 then
RAUM -37% over the last fiscal year-31% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 6, 2020; every figure names its basis
RAUM per advisor
$286MderivedRAUM 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
$95.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-37%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 pooled vehiclesreportedItem 5.G
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
  • 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)
  • 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
  • Pooled investment vehicles$572M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• E••••• M••••• F•••• L•••Hedge Fund$270M53Mar 29, 2012
      C••••• E••••• P••• M••••• F•••• L•••Hedge Fund$212M25Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • J•••••••• G••••• A•••• · Managing Partnercontrol
        since 06/2001 · owns 25% to 50%
      • R•••••••• C••••••• A••••• · Director Of Research, Limited Partnercontrol
        since 01/2002 · owns 25% to 50%
      • W••••••• M•••••• L•• · Chief Financial Officer / Chief Compliance Officer/Limited Partnercontrol
        since 02/2010 · owns less than 5%
      • J•••••••• G••••• A•••• · President/Membercontrol
        since 06/2001 · owns 25% to 50% of C••••• A•••• M••••••••• L••
      • R•••••••• C••••••• A••••• · Membercontrol
        since 05/2015 · owns 25% to 50% of C••••• A•••• M••••••••• L••
      • W••••••• M•••••• L•• · Membercontrol
        since 05/2015 · owns F of C••••• A•••• M••••••••• L••
      • D••••• K••••••• W•••• · Limited Partner
        since 06/2001 · owns 5% to 10%
      • D••••• K••••••• W•••• · Member
        since 06/2001 · owns F of C••••• A•••• M••••••••• L••
      Entity owners
      • C••••• A•••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      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 · 8 to 6
        Mar 19, 2019 to Mar 6, 2020
      • Advisory employees · 3 to 4
        Mar 19, 2019 to Mar 6, 2020
      • Pooled vehicle clients · 8 to 6
        Mar 19, 2019 to Mar 6, 2020
      • Employees · 6 to 5
        Mar 19, 2019 to Mar 6, 2020
      • Other offices · 1 to 0
        Mar 19, 2019 to Mar 6, 2020
      • Discretionary RAUM · $913M to $572M
        Mar 19, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $913M to $572M
        Mar 19, 2019 to Mar 6, 2020
      • RAUM · $913M to $572M
        Mar 19, 2019 to Mar 6, 2020
      • Accounts · 10 to 8
        Apr 17, 2018 to Mar 19, 2019
      • Advisory employees · 2 to 3
        Apr 17, 2018 to Mar 19, 2019
      • Pooled vehicle clients · 10 to 8
        Apr 17, 2018 to Mar 19, 2019
      • Employees · 5 to 6
        Apr 17, 2018 to Mar 19, 2019
      • Discretionary RAUM · $1.3B to $913M
        Apr 17, 2018 to Mar 19, 2019
      • Pooled vehicle RAUM · $1.3B to $913M
        Apr 17, 2018 to Mar 19, 2019
      • RAUM · $1.3B to $913M
        Apr 17, 2018 to Mar 19, 2019
      • Advisory employees · 3 to 2
        Mar 7, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 10.0
        Mar 7, 2017 to Mar 26, 2018
      • Employees · 6 to 5
        Mar 7, 2017 to Mar 26, 2018
      • State-registered IARs · 3 to 2
        Mar 7, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 7, 2017 to Mar 26, 2018
      • Discretionary RAUM · $1.7B to $1.3B
        Mar 7, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 1346138000.0
        Mar 7, 2017 to Mar 26, 2018
      • RAUM · $1.7B to $1.3B
        Mar 7, 2017 to Mar 26, 2018
      • Accounts · 9 to 10
        Mar 30, 2016 to Mar 7, 2017
      • Discretionary RAUM · $1.1B to $1.7B
        Mar 30, 2016 to Mar 7, 2017
      • RAUM · $1.1B to $1.7B
        Mar 30, 2016 to Mar 7, 2017
      • RAUM · $917M to $1.1B
        Jul 27, 2015 to Mar 30, 2016
      • Accounts · 6 to 9
        Jul 27, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 3
        Jul 27, 2015 to Mar 30, 2016
      • Employees · 4 to 6
        Jul 27, 2015 to Mar 30, 2016
      • State-registered IARs · 2 to 3
        Jul 27, 2015 to Mar 30, 2016
      • Private funds · 1 to 2
        Jul 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $917M to $1.1B
        Jul 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $554M to $917M
        Mar 31, 2015 to Jul 27, 2015
      • RAUM · $554M to $917M
        Mar 31, 2015 to Jul 27, 2015
      • Accounts · 5 to 6
        Mar 24, 2014 to Mar 31, 2015
      • Employees · 3 to 4
        Mar 24, 2014 to Mar 31, 2015
      • Discretionary RAUM · $378M to $554M
        Mar 24, 2014 to Mar 31, 2015
      • RAUM · $378M to $554M
        Mar 24, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Mar 20, 2013 to Mar 24, 2014
      Signals
      2 dated events
      • C••••• C•••••• P•••••••• L••• reported RAUM $572.4M, down 37% from $913.2M (2019-03-19 to 2020-03-06)
        Mar 6, 2020 · RAUM change · derived
      • C••••• C•••••• P•••••••• L••• reported RAUM $913.2M, down 32% from $1.3B (2018-04-17 to 2019-03-19)
        Mar 19, 2019 · RAUM change · derived
      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