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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
U••• A•••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Dec 7, 2011 · 46 filings
SEC status approved since Nov 18, 2005
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.0M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
24
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$132M as of Apr 24, 2026
Mar 30, 2012$332M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Apr 24, 2026
Mar 28, 20138 then
Employees (5.A)6 as of Apr 24, 2026
Mar 28, 201310 then
Private funds24 as of Apr 24, 2026
Mar 30, 20123 then
RAUM -24% over the last fiscal year-20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
- RAUM per advisor
- $33.0MderivedRAUM 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
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $132M, 24 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$132M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $132M for 24 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount3 left over 36 months
Left, latest
- K•••• A••••• R•••••• to U••• C•••••• W••••• A•••••••• L••Mar 13, 2024 · Other
- D•••• K•••• R•••••• to U••• C•••••• W••••• A•••••••• L••Mar 13, 2024 · Other
- D•••• M•••••• H••••• to U••• C•••••• W••••• A•••••••• L••Oct 5, 2023 · Other
- P•••••• M•••••• M••••••••• to U••• C•••••• W••••• A•••••••• L••Aug 24, 2021 · Other
- D•••• M•••••• K••• to U••• C•••••• W••••• A•••••••• L••Aug 24, 2021 · Other
- R•••••• S•••• J•••• to U••• C•••••• W••••• A•••••••• L••Aug 24, 2021 · Other
- S•••• H••••• G••• to U••• C•••••• W••••• A•••••••• L••Aug 24, 2021 · Other
- D•••• L•• S•••••• to U••• R•• L••Feb 21, 2020 · Other
- D•••• S•••••• P••••• to U••• R•• L••Mar 3, 2017 · Other
- G••••• C• M••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 7, 2013 · Other
- C•••• D•••• W•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 22, 2010 · Other
- W•••••• K••• E••••• to G•• A•••••••• L•••Jun 30, 2010 · Other
- S•••• G•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 20, 2008 · Other
Joined, latest
- D•••• M•••••• K••• from U••• C•••••• W••••• A•••••••• L••Oct 26, 2023 · Other
- C•••••••• C••••• B••••• from U••• C•••••• W••••• A•••••••• L••Nov 3, 2022 · Other
- R•••••• S•••• J•••• from U••• R•• L••Jul 9, 2018 · Other
- K•••• A••••• R•••••• from U••• R•• L••Mar 6, 2017 · Other
- D•••• K•••• R•••••• from U••• R•• L••Mar 3, 2017 · Other
- P•••••• M•••••• M••••••••• from U••• R•• L••May 26, 2016 · Other
- D•••• M•••••• K••• from U••• R•• L••Mar 29, 2016 · Other
- D•••• M•••••• H••••• from U••• R•• L••Apr 9, 2015 · Other
- S•••• H••••• G••• from U••• R•• L••Mar 5, 2015 · Other
- G••••• C• M••••• from H••••••••• P•••••••• L••Mar 4, 2008 · Other
- S•••• G•••• from H••••••••• P•••••••• L••Mar 4, 2008 · Other
- C•••• D•••• W•••••••• from H••••••••• P•••••••• L••Mar 4, 2008 · Other
- D•••• S•••••• P••••• from H••••••••• P•••••••• L••Aug 17, 2006 · Other
- P••••• J••• P••••••••• from H••••••••• P•••••••• L••Aug 15, 2006 · Other
- W•••••• K••• E••••• from H••••••••• P•••••••• L••Feb 6, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U••• C•••••• W••••• A•••••••• L••Mar 13, 2024 · Houston, Tx
- 4 left for U••• C•••••• W••••• A•••••••• L••Aug 24, 2021 · Houston, Tx
- 2 joined from U••• C•••••• W••••• A•••••••• L••Jul 21, 2026 · Austin, Tx
- 7 joined from U••• R•• L••Jun 30, 2021 · Houston, Tx
Private funds
26 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••••• K••••• L••••• · Chief Financial Officercontrolsince 10/2022 · owns less than 5%
- G••••••• W•••••• A••• · Ccocontrolsince 06/2021 · owns less than 5%
- K•••• D••••• M•••••• · Managing Partnercontrolsince 10/2013 · owns less than 5%
- M••••••••• P••••••• M•••••• · Managing Partnercontrolsince 10/2013 · owns less than 5%
Entity owners
- U••• L•• · Sole Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- U••• C•••••• W••••• A•••••••• L••investment advisernRAUM $8.8B
- U••• B••••• M•••••••• M••••••••• L••pooled vehicle sponsorn
- U••• B•••• G• L••pooled vehicle sponsorn
- U••• C• F••• I• G• L••pooled vehicle sponsorn
- U••• F•••• C••••• P••••••• F••• G• L••pooled vehicle sponsorn
- U••• I•••••••• A••••• L••real estaten
- U••• L••• C••••••••• G• L••pooled vehicle sponsorn
- U••• L••• C••••••••• I• G• L••pooled vehicle sponsorn
- U••• M•••••••• A••••••• L••n
- U••• R•••••••• F••• G• L••pooled vehicle sponsorn
- U••• R••• E••••• V••••••• G• I• L••pooled vehicle sponsorn
- U••• R••••••• M••••••• C••••••••• I• G• L••pooled vehicle sponsorn
- U••• S••••••••• L••broker-dealern
- U••• S•••• G•• G• L••pooled vehicle sponsorn
- U••• T•••••••• M•••••••• G• L••pooled vehicle sponsorn
- U••• T•••••••• M•••••••• I•• G•• L••pooled vehicle sponsorn
Advisers that list U••• A•••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- many p•••••• funds relative to firm sizeStatic outlier · filing Apr 24, 2026private funds per $1B of RAUM of 181.6 against a peer median of 20.7 (712 comparable advisers, 99.0th percentile, 12.3 robust deviations)peers: asset managers, $100M to $500M (712) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 25 to 24Mar 27, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $141M to $132MMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $174M to $132MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $145M to $132MMar 27, 2025 to Mar 30, 2026
- RAUM · $174M to $132MMar 27, 2025 to Mar 30, 2026
- Accounts · 26 to 25Nov 21, 2024 to Mar 27, 2025
- Pooled vehicle clients · 25 to 24Nov 21, 2024 to Mar 27, 2025
- Assets in custody · $149M to $141MNov 21, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Nov 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $205M to $174MNov 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $164M to $145MNov 21, 2024 to Mar 27, 2025
- RAUM · $205M to $174MNov 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $233M to $205MOct 24, 2024 to Nov 21, 2024
- Pooled vehicle RAUM · $154M to $164MOct 24, 2024 to Nov 21, 2024
- RAUM · $233M to $205MOct 24, 2024 to Nov 21, 2024
- Accounts · 25 to 26Dec 21, 2023 to Mar 26, 2024
- Advisory employees · 8 to 5Dec 21, 2023 to Mar 26, 2024
- BD registered reps · 8 to 5Dec 21, 2023 to Mar 26, 2024
- Pooled vehicle clients · 23 to 25Dec 21, 2023 to Mar 26, 2024
- Employees · 9 to 6Dec 21, 2023 to Mar 26, 2024
- Insurance-licensed employees · 8 to 5Dec 21, 2023 to Mar 26, 2024
- State-registered IARs · 8 to 5Dec 21, 2023 to Mar 26, 2024
- Private funds · 23 to 24Dec 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $258M to $233MDec 21, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $149M to $154MDec 21, 2023 to Mar 26, 2024
- RAUM · $258M to $233MDec 21, 2023 to Mar 26, 2024
- Accounts · 20 to 25Feb 22, 2023 to Mar 27, 2023
- Advisory employees · 6 to 8Feb 22, 2023 to Mar 27, 2023
- BD registered reps · 6 to 8Feb 22, 2023 to Mar 27, 2023
- Pooled vehicle clients · 18 to 23Feb 22, 2023 to Mar 27, 2023
- Assets in custody · $64.4M to $149MFeb 22, 2023 to Mar 27, 2023
- Employees · 7 to 9Feb 22, 2023 to Mar 27, 2023
- Insurance-licensed employees · 6 to 8Feb 22, 2023 to Mar 27, 2023
- State-registered IARs · 6 to 8Feb 22, 2023 to Mar 27, 2023
- Private funds · 19 to 23Feb 22, 2023 to Mar 27, 2023
- Discretionary RAUM · $179M to $258MFeb 22, 2023 to Mar 27, 2023
- Pooled vehicle RAUM · $64.4M to $149MFeb 22, 2023 to Mar 27, 2023
- RAUM · $179M to $258MFeb 22, 2023 to Mar 27, 2023
- Private funds · 18 to 19May 24, 2022 to Jul 2, 2022
Signals
10 dated events
- 2 advisors left U••• C•••••• W••••• A•••••••• L•• (Austin, TX) for U••• A•••• M••••••••• L•• on the same dayJul 21, 2026 · Team lift-out · derived
- D•••• K•••• R•••••• left U••• A•••• M••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2021-06-30)Mar 13, 2024 · Advisor changed firm · fact
- K•••• A••••• R•••••• left U••• A•••• M••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2021-06-30)Mar 13, 2024 · Advisor changed firm · fact
- 2 advisors left U••• A•••• M••••••••• L•• (Houston, TX) for U••• C•••••• W••••• A•••••••• L•• on the same dayMar 13, 2024 · Team lift-out · derived
- D•••• M•••••• H••••• left U••• A•••• M••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2021-06-30)Oct 5, 2023 · Advisor changed firm · fact
- Lizann Kasey Dejonckheere (Chief Financial Officer) appeared on Schedule A of U••• A•••• M••••••••• L••Nov 1, 2022 · Control person joined · fact
- Alan Walter Gilmore (Cco) appeared on Schedule A of U••• A•••• M••••••••• L••Jun 22, 2021 · Control person joined · fact
- Howell Steve Gott (Chief Compliance Officer) no longer on Schedule A of U••• A•••• M••••••••• L•• (listed 2021-05-25, absent 2021-06-22)Jun 22, 2021 · Control person left · inference
- Howell Steve Gott (Chief Compliance Officer) appeared on Schedule A of U••• A•••• M••••••••• L••May 25, 2021 · Control person joined · fact
- Courtney Elizabeth Bowling (Cco - Managing Director Compliance/Legal) no longer on Schedule A of U••• A•••• M••••••••• L•• (listed 2021-02-03, absent 2021-05-25)May 25, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- U••• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-366-0500reportedpublic record, Form ADV, Apr 24, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026