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•••••• R•••••••• I•••
Latest filing Mar 24, 2023
First filing on the tape Apr 2, 2012 · 17 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
38%
$484M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.3B as of Mar 24, 2023
Apr 2, 2012$577M then
HNW client RAUM$484M as of Mar 24, 2023
Mar 29, 2018$386M then
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Apr 2, 20120 then
Employees (5.A)7 as of Mar 24, 2023
Apr 2, 20135 then
Private funds: no history
RAUM -17% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2023; 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
- $28.5MderivedHNW RAUM over HNW clients
- Average account
- $7.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 13%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
- -17%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$636M50%
- High-net-worth individuals$484M38%
- State and municipal entities$109M8.5%
- Pension and profit-sharing plans$41.5M3.2%
- Charitable organizations$12.3M1.0%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 180reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- M••• K•••••• C•••••• to A•••• W••••• M••••••••• L••Dec 31, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• K•••••• · President/Chief Compliance Officercontrolsince 08/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 173 to 180Mar 29, 2022 to Mar 24, 2023
- HNW clients · 16 to 17Mar 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $675M to $373MMar 29, 2022 to Mar 24, 2023
- HNW RAUM · $523M to $484MMar 29, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $877M to $910MMar 29, 2022 to Mar 24, 2023
- Pension RAUM · $37.7M to $41.5MMar 29, 2022 to Mar 24, 2023
- RAUM · $1.6B to $1.3BMar 29, 2022 to Mar 24, 2023
- Accounts · 179 to 173Mar 24, 2021 to Mar 29, 2022
- Advisory employees · 2 to 3Mar 24, 2021 to Mar 29, 2022
- HNW clients · 14 to 16Mar 24, 2021 to Mar 29, 2022
- Employees · 6 to 7Mar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $777M to $675MMar 24, 2021 to Mar 29, 2022
- HNW RAUM · $499M to $523MMar 24, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $1.2B to $877MMar 24, 2021 to Mar 29, 2022
- Pension RAUM · $95.0M to $37.7MMar 24, 2021 to Mar 29, 2022
- RAUM · $1.9B to $1.6BMar 24, 2021 to Mar 29, 2022
- Financial planning clients · 11-25 to unsetJun 24, 2020 to Mar 24, 2021
- State-registered IARs · 1 to 0Jun 24, 2020 to Mar 24, 2021
- Discretionary RAUM · $235M to $777MJun 24, 2020 to Mar 24, 2021
- HNW RAUM · $448M to $499MJun 24, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $1.0B to $1.2BJun 24, 2020 to Mar 24, 2021
- Accounts · 189 to 179Jun 24, 2020 to Mar 24, 2021
- Advisory employees · 3 to 2Jun 24, 2020 to Mar 24, 2021
- Employees · 5 to 6Jun 24, 2020 to Mar 24, 2021
- Pension RAUM · $43.6M to $95.0MJun 24, 2020 to Mar 24, 2021
- RAUM · $1.3B to $1.9BJun 24, 2020 to Mar 24, 2021
- Accounts · 201 to 189May 16, 2019 to Mar 30, 2020
- Charity clients · 2.0 to unsetMay 16, 2019 to Mar 30, 2020
- HNW clients · 13 to 14May 16, 2019 to Mar 30, 2020
- Pension plan clients · 3.0 to unsetMay 16, 2019 to Mar 30, 2020
- Employees · 7 to 5May 16, 2019 to Mar 30, 2020
- Other offices · 1 to 0May 16, 2019 to Mar 30, 2020
- Discretionary RAUM · $177M to $235MMay 16, 2019 to Mar 30, 2020
- HNW RAUM · $391M to $448MMay 16, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $718M to $1.0BMay 16, 2019 to Mar 30, 2020
- Pension RAUM · $65.9M to $43.6MMay 16, 2019 to Mar 30, 2020
- RAUM · $895M to $1.3BMay 16, 2019 to Mar 30, 2020
- Accounts · 238 to 201Mar 29, 2018 to Mar 30, 2019
- Charity clients · 3 to 2Mar 29, 2018 to Mar 30, 2019
- HNW clients · 23 to 13Mar 29, 2018 to Mar 30, 2019
Signals
4 dated events
- M••• K•••••• C•••••• left C••••••• C•••••• R•••••••• I••• for A•••• W••••• M••••••••• L•• (registered 2024-01-04)Dec 31, 2023 · Advisor changed firm · fact
- C••••••• C•••••• R•••••••• I••• reported RAUM $1.9B, up 52% from $1.3B (2020-06-24 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- C••••••• C•••••• R•••••••• I••• reported RAUM $1.3B, up 43% from $895.3M (2019-05-16 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C••••••• C•••••• R•••••••• I••• reported RAUM $895.3M, up 30% from $688.7M (2018-03-29 to 2019-03-30)Mar 30, 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