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
L•• G••••• P••••••• L••
Latest filing Mar 28, 2016
First filing on the tape Jan 23, 2012 · 8 filings
RAUM
$145M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$97.0M gross assets
History
8 filings and snapshots on the tape
RAUM$145M as of Mar 28, 2016
Mar 28, 2013$147M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2016
Mar 28, 20130 then
Employees (5.A)8 as of Mar 28, 2016
Mar 28, 20136 then
Private funds1 as of Mar 28, 2016
Mar 28, 20131 then
RAUM -8.2% over the last fiscal year-0.5% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Mar 28, 2016; every figure names its basis
- RAUM per advisor
- $48.3MderivedRAUM 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
- $638,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
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
- 227reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- J•••• L••• B••• to J••• M••••• S••••••••• L••Jun 14, 2016 · Other
- H•••• A••• F•••• to G••••••••• W••••• A•••••••Jun 1, 2016 · Other
- T••••• A• H••••• to R•••••• J•••• • A••••••••• I•••Jul 28, 2015 · Other
Joined, latest
- J•••• L••• B••• from A••••• A•• P••••••• S•••••••Jul 8, 2015 · Other
- H•••• A••• F•••• from C••••• C•••••• P••••••• L••Jun 1, 2015 · Other
- T••••• A• H••••• from T• R••• P•••• A••••••• S•••••••• I•••May 29, 2015 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 2••• M••••••••• F••• L• | Hedge Fund | $97.0M | 90 | Jan 23, 2012 |
| A••••••• S••••• L••no longer reported | Other Private Fund | $6.0M | 10 | Jan 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••• M•••••• · Cfo, Ccocontrolsince 01/2012 · owns 5% to 10%
- L•••••••• D••••• S•••• · Managing Membercontrolsince 06/2004 · owns 75% or more
- S••••••••• S••••• A••• · Portfolio Managersince 01/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
- 2••• M••••••••• F••• L•bankpooled vehicle sponsory
- M•••••• K• A••insurancey
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX
What changed
consecutive filings, newest first
- Accounts · 276 to 227Mar 27, 2015 to Mar 28, 2016
- Advisory employees · 4 to 3Mar 27, 2015 to Mar 28, 2016
- Employees · 9 to 8Mar 27, 2015 to Mar 28, 2016
- State-registered IARs · 1 to 3Mar 27, 2015 to Mar 28, 2016
- Discretionary RAUM · $158M to $145MMar 27, 2015 to Mar 28, 2016
- RAUM · $158M to $145MMar 27, 2015 to Mar 28, 2016
- Accounts · 175 to 276Oct 3, 2014 to Mar 27, 2015
- Advisory activities · 5 to 4Oct 3, 2014 to Mar 27, 2015
- Employees · 8 to 9Oct 3, 2014 to Mar 27, 2015
- Financial planning clients · 1-10 to 0Oct 3, 2014 to Mar 27, 2015
- State-registered IARs · 0 to 1Oct 3, 2014 to Mar 27, 2015
- Discretionary RAUM · $168M to $158MOct 3, 2014 to Mar 27, 2015
- RAUM · $168M to $158MOct 3, 2014 to Mar 27, 2015
- Accounts · 97 to 175Mar 28, 2013 to Mar 31, 2014
- Assets in custody · 115000000.0 to unsetMar 28, 2013 to Mar 31, 2014
- Custody of client assets · true to falseMar 28, 2013 to Mar 31, 2014
- Employees · 6 to 8Mar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $147M to $168MMar 28, 2013 to Mar 31, 2014
- RAUM · $147M to $168MMar 28, 2013 to Mar 31, 2014
- Accounts · 4 to 97Apr 17, 2012 to Mar 28, 2013
- Advisory employees · unset to 4.0Apr 17, 2012 to Mar 28, 2013
- Advisory activities · 4 to 5Apr 17, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0Apr 17, 2012 to Mar 28, 2013
- Assets in custody · $129M to $115MApr 17, 2012 to Mar 28, 2013
- Employees · unset to 6.0Apr 17, 2012 to Mar 28, 2013
- Financial planning clients · 0 to 1-10Apr 17, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Apr 17, 2012 to Mar 28, 2013
- Private funds · 2 to 1Apr 17, 2012 to Mar 28, 2013
- Discretionary RAUM · $129M to $147MApr 17, 2012 to Mar 28, 2013
- RAUM · $129M to $147MApr 17, 2012 to Mar 28, 2013
- Related bank · false to trueApr 17, 2012 to Mar 28, 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