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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SEC-registered adviser
H••••• C•••••• M••••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Dec 20, 2011 · 5 filings
SEC status approved since May 19, 2026
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$133M as of Aug 28, 2026
Mar 29, 2012$74.2M then
HNW client RAUM$115M as of Aug 28, 2026
May 15, 2026$115M then
State-registered IARs (5.B.3)1 as of Aug 28, 2026
Mar 29, 20120 then
Employees (5.A)1 as of Aug 28, 2026
May 15, 20261 then
Private funds3 as of Aug 28, 2026
Mar 29, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $805,244derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed fees, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $10.4M, 4 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- High-net-worth individuals$115M86%
- Pooled investment vehicles$8.2M6.2%
- Charitable organizations$5.3M4.0%
- Individuals$4.1M3.1%
- Corporations and businesses$357,3880.3%
- Individual clients
- 22reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 165reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.4M for 4 clientsreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.9 fund_share=0.06 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L••• H••••• | Dallas, Tx | Feb 1, 2005 | 27 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• L••• H••••• from W•••••• R••••••• A•• M••••••••• L•••••Feb 1, 2005 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• P•••••••• L• | Hedge Fund | $4.1M | 1 | Jan 25, 2012 |
| H••••• E••••• I••••••••• F••• I• L••• | Hedge Fund | $3.5M | 1 | Jan 25, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• C••••• L••• · President/Chief Compliance Officercontrolsince 01/2005 · 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 · 116 to 165Mar 29, 2012 to May 15, 2026
- Advisory employees · unset to 1.0Mar 29, 2012 to May 15, 2026
- BD registered reps · unset to 0.0Mar 29, 2012 to May 15, 2026
- Charity clients · unset to 7.0Mar 29, 2012 to May 15, 2026
- Corporate clients · unset to 1.0Mar 29, 2012 to May 15, 2026
- HNW clients · unset to 78.0Mar 29, 2012 to May 15, 2026
- Individual clients · unset to 22.0Mar 29, 2012 to May 15, 2026
- Pooled vehicle clients · unset to 3.0Mar 29, 2012 to May 15, 2026
- Assets in custody · $10.5M to $10.4MMar 29, 2012 to May 15, 2026
- Employees · unset to 1.0Mar 29, 2012 to May 15, 2026
- Financial planning clients · unset to Mar 29, 2012 to May 15, 2026
- HQ city · DALLAS to Mar 29, 2012 to May 15, 2026
- HQ state · TX to Mar 29, 2012 to May 15, 2026
- State-registered IARs · 0 to 1Mar 29, 2012 to May 15, 2026
- Other offices · unset to 0.0Mar 29, 2012 to May 15, 2026
- Private funds · 2 to 3Mar 29, 2012 to May 15, 2026
- Discretionary RAUM · $74.2M to $133MMar 29, 2012 to May 15, 2026
- HNW RAUM · unset to 114886339.0Mar 29, 2012 to May 15, 2026
- Individual RAUM · unset to 4059921.0Mar 29, 2012 to May 15, 2026
- Pooled vehicle RAUM · unset to 8233433.0Mar 29, 2012 to May 15, 2026
- RAUM · $74.2M to $133MMar 29, 2012 to May 15, 2026
- Discretionary RAUM · $124M to $74.2MJan 25, 2012 to Mar 29, 2012
- RAUM · $124M to $74.2MJan 25, 2012 to Mar 29, 2012
- Insurance-licensed employees · unset to 0.0Dec 20, 2011 to Jan 25, 2012
- Financial planning clients · 0 to unsetDec 20, 2011 to Jan 25, 2012
- Private funds · unset to 2Dec 20, 2011 to Jan 25, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 214-754-0800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-754-0801reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-461-0800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214 754 0800reportedpublic record, Form ADV, Aug 28, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026