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

M••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Antonio, TexasCRD 133766SEC 801-67876IAPD
Latest filing Feb 24, 2016
First filing on the tape Mar 16, 2012 · 18 filings
RAUM
$420M
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$420M as of Feb 24, 2016
Mar 29, 2012$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 24, 2016
Feb 5, 20135 then
Employees (5.A)7 as of Feb 24, 2016
Feb 5, 20136 then
Private funds: no history
RAUM -7.4% over the last fiscal year+10% a year over threeIARs 7 to 5
Practice profile
derived from the filing of Feb 24, 2016; every figure names its basis
RAUM per advisor
$84.1MderivedRAUM 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
$944,909derivedRAUM 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
-7.4%derivedbetween the last two annual amendments
Advisor growth, one year
-29%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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)
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
445reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••• H••••• M•••• · Membercontrol
    since 04/2011 · owns less than 5%
  • G•••••• S•••••• F••••••••• · Membercontrol
    since 06/2005 · owns 25% to 50%
  • L••••• J•••• A•••••• · President, Managing Membercontrol
    since 02/2005 · owns 50% to 75%
  • B••••• L••••••• K••••••• · Chief Compliance Officer
    since 10/2013 · 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 · 451 to 445
    Dec 3, 2015 to Feb 24, 2016
  • Advisory employees · 8 to 6
    Dec 3, 2015 to Feb 24, 2016
  • Employees · 9 to 7
    Dec 3, 2015 to Feb 24, 2016
  • State-registered IARs · 7 to 5
    Dec 3, 2015 to Feb 24, 2016
  • Discretionary RAUM · $417M to $420M
    Dec 3, 2015 to Feb 24, 2016
  • RAUM · $417M to $420M
    Dec 3, 2015 to Feb 24, 2016
  • Accounts · 450 to 451
    Aug 12, 2015 to Dec 3, 2015
  • Advisory employees · 7 to 8
    Aug 12, 2015 to Dec 3, 2015
  • Employees · 8 to 9
    Aug 12, 2015 to Dec 3, 2015
  • Discretionary RAUM · $454M to $417M
    Aug 12, 2015 to Dec 3, 2015
  • RAUM · $454M to $417M
    Aug 12, 2015 to Dec 3, 2015
  • Discretionary RAUM · $433M to $454M
    Aug 22, 2014 to Mar 13, 2015
  • RAUM · $433M to $454M
    Aug 22, 2014 to Mar 13, 2015
  • Accounts · 448 to 450
    Jul 2, 2014 to Aug 22, 2014
  • Discretionary RAUM · $436M to $433M
    Jul 2, 2014 to Aug 22, 2014
  • RAUM · $436M to $433M
    Jul 2, 2014 to Aug 22, 2014
  • Accounts · 450 to 448
    Apr 15, 2014 to Jul 2, 2014
  • Advisory employees · 6 to 7
    Apr 15, 2014 to Jul 2, 2014
  • Employees · 7 to 8
    Apr 15, 2014 to Jul 2, 2014
  • State-registered IARs · 6 to 7
    Apr 15, 2014 to Jul 2, 2014
  • Discretionary RAUM · $404M to $436M
    Apr 15, 2014 to Jul 2, 2014
  • RAUM · $404M to $436M
    Apr 15, 2014 to Jul 2, 2014
  • Accounts · 418 to 450
    Nov 6, 2013 to Mar 28, 2014
  • Advisory employees · 4 to 6
    Nov 6, 2013 to Mar 28, 2014
  • Employees · 5 to 7
    Nov 6, 2013 to Mar 28, 2014
  • State-registered IARs · 4 to 6
    Nov 6, 2013 to Mar 28, 2014
  • Discretionary RAUM · $364M to $404M
    Nov 6, 2013 to Mar 28, 2014
  • RAUM · $364M to $404M
    Nov 6, 2013 to Mar 28, 2014
  • Accounts · 392 to 418
    May 20, 2013 to Oct 16, 2013
  • Discretionary RAUM · $313M to $364M
    May 20, 2013 to Oct 16, 2013
  • RAUM · $313M to $364M
    May 20, 2013 to Oct 16, 2013
  • Advisory employees · 5 to 4
    Feb 5, 2013 to May 20, 2013
  • Employees · 6 to 5
    Feb 5, 2013 to May 20, 2013
  • State-registered IARs · 5 to 4
    Feb 5, 2013 to May 20, 2013
  • Accounts · 365 to 392
    Jun 15, 2012 to Feb 5, 2013
  • Advisory employees · unset to 5.0
    Jun 15, 2012 to Feb 5, 2013
  • Employees · unset to 6.0
    Jun 15, 2012 to Feb 5, 2013
  • Financial planning clients · 11-25 to 1-10
    Jun 15, 2012 to Feb 5, 2013
  • State-registered IARs · unset to 5.0
    Jun 15, 2012 to Feb 5, 2013
  • Discretionary RAUM · $230M to $313M
    Jun 15, 2012 to Feb 5, 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