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

S•••••• E••••• A•••••••• L•

Former SEC-registered adviserHouston, TexasCRD 136435SEC 801-64540IAPD
Latest filing Aug 16, 2013
First filing on the tape Dec 19, 2011 · 6 filings
RAUM
$49.5M
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
18
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$258M gross assets
History
6 filings and snapshots on the tape
RAUM$49.5M as of Mar 28, 2013
Mar 30, 2012$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 18
Private funds2 as of Mar 28, 2013
Mar 30, 20123 then
RAUM -80% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Aug 16, 2013; every figure names its basis
RAUM per advisor
$49.5MderivedRAUM 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
$24.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
18.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-80%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$250M, 5 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
  • 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)
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$250M for 5 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S•••••• E••••• F•• L•Hedge Fund$200M2Mar 30, 2012
    S•••••• E••••• L•Hedge Fund$49.5M32Mar 30, 2012
    S•••••• M••••••• E••••• L•Hedge Fund$8.0M23Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• K••••• M•••••• · Chief Financial Officer, Chief Investment Officer And Presidentcontrol
      since 04/2009 · owns less than 5%
    • K•••••• N••• · Chief Executive Officercontrol
      since 01/2005 · owns less than 5%
    • K•••••• N•••• E••••• · Membercontrol
      since 01/2005 · owns 50% to 75% of S•••••• L••
    • K•••••• N•••• E••••• · Sole Shareholdercontrol
      since 04/2009 · owns 75% or more of N•• I•••••••• I•••
    • K•••••• N•••• E••••• · Limited Partnercontrol
      since 09/2010 · owns 75% or more of C• I••••••••• L•
    • K•••••• N•••• E••••• · Membercontrol
      since 09/2010 · owns 50% to 75% of C• I••••••••• G• L••
    • D•••••••• A••••••• P•••• · General Counsel And Chief Compliance Officer
      since 03/2010 · owns less than 5%
    Entity owners
    • C• I••••••••• L• · Limited Partner
      direct · owns 25% to 50%
    • N•• I•••••••• I••• · Limited Partner
      direct · owns 25% to 50%
    • S•••••• L•• · General Partner
      direct · owns less than 5%
    • N•• I•••••••• I••• · Member
      indirect · owns 50% to 75% of C3investments Gp LLC
    • N•• I•••••••• I••• · Member
      indirect · owns 25% to 50% of S•••••• L••
    • C• I••••••••• G• L•• · General Partner
      indirect · owns F of C• I••••••••• L•
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      May 28, 2013 to Aug 16, 2013
    • Private funds · 2 to 3
      Apr 2, 2013 to May 28, 2013
    • Accounts · 7 to 2
      Mar 30, 2012 to Mar 28, 2013
    • Advisory employees · unset to 7.0
      Mar 30, 2012 to Mar 28, 2013
    • Advisory activities · 2 to 1
      Mar 30, 2012 to Mar 28, 2013
    • Assets in custody · $271M to $250M
      Mar 30, 2012 to Mar 28, 2013
    • Employees · unset to 18.0
      Mar 30, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 1
      Mar 30, 2012 to Mar 28, 2013
    • Private funds · 3 to 2
      Mar 30, 2012 to Mar 28, 2013
    • Discretionary RAUM · $251M to $49.5M
      Mar 30, 2012 to Mar 28, 2013
    • RAUM · $251M to $49.5M
      Mar 30, 2012 to Mar 28, 2013
    • Related adviser · true to false
      Mar 30, 2012 to Mar 28, 2013
    • Accounts · 6 to 7
      Dec 19, 2011 to Mar 30, 2012
    • Advisory activities · 3 to 2
      Dec 19, 2011 to Mar 30, 2012
    • Assets in custody · $140M to $271M
      Dec 19, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 19, 2011 to Mar 30, 2012
    • Organization form · Partnership to Limited Partnership
      Dec 19, 2011 to Mar 30, 2012
    • Private funds · unset to 3
      Dec 19, 2011 to Mar 30, 2012
    • Discretionary RAUM · $140M to $251M
      Dec 19, 2011 to Mar 30, 2012
    • RAUM · $140M to $251M
      Dec 19, 2011 to Mar 30, 2012
    • Related adviser · false to true
      Dec 19, 2011 to Mar 30, 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.
    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