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•••••• I••••••••• M••••••••• L••
Latest filing Sep 10, 2024
First filing on the tape Nov 28, 2011 · 44 filings
SEC status approved since Jan 12, 2006
RAUM
$278M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$278M as of Feb 9, 2024
Mar 5, 2012$190M then
HNW client RAUM$251M as of Feb 9, 2024
Mar 23, 2018$184M then
State-registered IARs (5.B.3)4 as of Feb 9, 2024
Mar 7, 20132 then
Employees (5.A)5 as of Feb 9, 2024
Mar 7, 20133 then
Private funds: no history
RAUM +9.5% over the last fiscal year-13% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 10, 2024; every figure names its basis
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $750,876derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- High-net-worth individuals$251M90%
- Individuals$27.0M9.7%
- Individual clients
- 92reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 370reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- K•••••• M•••• to E•••• F•••••••• G••••• L••Mar 31, 2025 · RIA to RIA
- K•• M••••• S••• to E•••• F•••••••• G••••• L••Mar 31, 2025 · RIA to RIA
- E••••• B••••••• to C••••••• C••••••••• P•••••••• A••••••• S•••••••• L••Mar 31, 2025 · Other
- M•••••• K•••• S•••••••• to E•••••••••Sep 10, 2024 · RIA to RIA
- J••••• E•••• M•••••••• to S••••••••• W••••• P•••••••Jul 26, 2024 · RIA to RIA
- M•••• P••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 24, 2023 · RIA to affiliated broker-dealer or bank
- S•••• H• M•••••• to R•••••• J•••• • A••••••••• I•••May 29, 2013 · Other
- H•••••• L••• B•••• to C••••• S••••• S••••••••• •••• L••Apr 24, 2012 · Other
- R••••• R•••••• B•••••••• to M•• I•••••••• S•••••••• L••Nov 17, 2009 · Other
Joined, latest
- M•••••• K•••• S•••••••• from M•• I•••••••• S•••••••• L••Apr 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• H• M•••••• from J••• M••••• S••••••••• L••Jun 25, 2012 · Other
- H•••••• L••• B•••• from L••••• B••••••• I•••Aug 2, 2010 · Other
- R••••• R•••••• B•••••••• from M••••• S•••••• • C•• L••Jul 30, 2008 · Other
- E••••• B••••••• from J••• M••••• S••••••••• L••Dec 1, 2006 · Other
- K•• M••••• S••• from J••• M••••• S••••••••• L••Jan 12, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E•••• F•••••••• G••••• L••Mar 31, 2025 · Plano, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• E•••••• W•••• · Managing Member And Ccocontrolsince 07/2005 · owns 75% or more
- S•••• K••• M••••• · Managing Membercontrolsince 08/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C••••••• C•••••• I••••••••• M••••••••• L•• as a related person
- 158014 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mckinney, Tx | 0 | 0 | 0 | ||
| Plano, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related broker-dealer · true to falseFeb 9, 2024 to Sep 10, 2024
- Accounts · 368 to 370Nov 2, 2023 to Feb 9, 2024
- BD registered reps · 2 to 3Nov 2, 2023 to Feb 9, 2024
- HNW clients · 47 to 55Nov 2, 2023 to Feb 9, 2024
- Individual clients · 83 to 92Nov 2, 2023 to Feb 9, 2024
- Employees · 4 to 5Nov 2, 2023 to Feb 9, 2024
- State-registered IARs · 3 to 4Nov 2, 2023 to Feb 9, 2024
- HNW RAUM · $228M to $251MNov 2, 2023 to Feb 9, 2024
- Individual RAUM · $26.1M to $27.0MNov 2, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $254M to $278MNov 2, 2023 to Feb 9, 2024
- RAUM · $254M to $278MNov 2, 2023 to Feb 9, 2024
- Accounts · 349 to 368Oct 27, 2022 to Feb 14, 2023
- Advisory employees · 2 to 3Oct 27, 2022 to Feb 14, 2023
- Corporate clients · unset to 0.0Oct 27, 2022 to Feb 14, 2023
- HNW clients · 51 to 47Oct 27, 2022 to Feb 14, 2023
- Individual clients · 76 to 83Oct 27, 2022 to Feb 14, 2023
- Pension plan clients · unset to 0.0Oct 27, 2022 to Feb 14, 2023
- Insurance-licensed employees · 2 to 0Oct 27, 2022 to Feb 14, 2023
- State-registered IARs · 2 to 3Oct 27, 2022 to Feb 14, 2023
- HNW RAUM · $370M to $228MOct 27, 2022 to Feb 14, 2023
- Individual RAUM · $31.5M to $26.1MOct 27, 2022 to Feb 14, 2023
- Non-discretionary RAUM · $404M to $254MOct 27, 2022 to Feb 14, 2023
- Pension RAUM · $2.0M to $0Oct 27, 2022 to Feb 14, 2023
- RAUM · $404M to $254MOct 27, 2022 to Feb 14, 2023
- Accounts · 335 to 349Feb 2, 2021 to Mar 3, 2022
- Corporate clients · 0.0 to unsetFeb 2, 2021 to Mar 3, 2022
- HNW clients · 41 to 51Feb 2, 2021 to Mar 3, 2022
- Individual clients · 73 to 76Feb 2, 2021 to Mar 3, 2022
- Pension plan clients · 0.0 to unsetFeb 2, 2021 to Mar 3, 2022
- Discretionary RAUM · $424M to $0Feb 2, 2021 to Mar 3, 2022
- HNW RAUM · $360M to $370MFeb 2, 2021 to Mar 3, 2022
- Individual RAUM · $63.3M to $31.5MFeb 2, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $0 to $404MFeb 2, 2021 to Mar 3, 2022
- Pension RAUM · $0 to $2.0MFeb 2, 2021 to Mar 3, 2022
- RAUM · $424M to $404MFeb 2, 2021 to Mar 3, 2022
- Accounts · 420 to 335Jan 15, 2021 to Feb 2, 2021
- BD registered reps · 3 to 2Jan 15, 2021 to Feb 2, 2021
- HNW clients · 40 to 41Jan 15, 2021 to Feb 2, 2021
- Individual clients · 76 to 73Jan 15, 2021 to Feb 2, 2021
- Discretionary RAUM · $0 to $424MJan 15, 2021 to Feb 2, 2021
Signals
15 dated events
- C••••••• C•••••• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $277.8M)May 2, 2025 · Left the SEC roster · derived
- K•••••• M•••• left C••••••• C•••••• I••••••••• M••••••••• L•• for E•••• F•••••••• G••••• L•• (registered 2025-01-22)Mar 31, 2025 · Advisor changed firm · fact
- K•• M••••• S••• left C••••••• C•••••• I••••••••• M••••••••• L•• for E•••• F•••••••• G••••• L•• (registered 2025-01-22)Mar 31, 2025 · Advisor changed firm · fact
- E••••• B••••••• left C••••••• C•••••• I••••••••• M••••••••• L•• for C••••••• C••••••••• P•••••••• A••••••• S•••••••• L•• (registered 2010-06-25)Mar 31, 2025 · Advisor changed firm · fact
- 2 advisors left C••••••• C•••••• I••••••••• M••••••••• L•• (Plano, TX) for E•••• F•••••••• G••••• L•• on the same dayMar 31, 2025 · Team lift-out · derived
- M•••••• K•••• S•••••••• left C••••••• C•••••• I••••••••• M••••••••• L•• for Entrewealth (registered 2024-09-12)Sep 10, 2024 · Advisor changed firm · fact
- J••••• E•••• M•••••••• left C••••••• C•••••• I••••••••• M••••••••• L•• for S••••••••• W••••• P••••••• (registered 2024-08-13)Jul 26, 2024 · Advisor changed firm · fact
- C••••••• C•••••• I••••••••• M••••••••• L•• reported RAUM $253.7M, down 37% from $403.7M (2022-10-27 to 2023-02-14)Feb 14, 2023 · RAUM change · derived
- M•••• P••••• left C••••••• C•••••• I••••••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-19)Jan 24, 2023 · Advisor changed firm · fact
- C••••••• C•••••• I••••••••• M••••••••• L•• reported RAUM $423.7M, up 107% from $204.5M (2021-01-15 to 2021-02-02)Feb 2, 2021 · RAUM change · derived
- Eugene Kenneth Shade (Cco) no longer on Schedule A of C••••••• C•••••• I••••••••• M••••••••• L•• (listed 2020-10-01, absent 2020-10-26)Oct 26, 2020 · Control person left · inference
- Kaz Benjamin Fujihara (Cco) no longer on Schedule A of C••••••• C•••••• I••••••••• M••••••••• L•• (listed 2020-09-02, absent 2020-10-01)Oct 1, 2020 · Control person left · inference
- Eugene Kenneth Shade (Cco) appeared on Schedule A of C••••••• C•••••• I••••••••• M••••••••• L••Oct 1, 2020 · Control person joined · fact
- Kaz Benjamin Fujihara (Cco) appeared on Schedule A of C••••••• C•••••• I••••••••• M••••••••• L••Jun 16, 2020 · Control person joined · fact
- D Amy Suhr (Chief Compliance Officer, Coo) no longer on Schedule A of C••••••• C•••••• I••••••••• M••••••••• L•• (listed 2019-05-01, absent 2019-10-02)Oct 2, 2019 · Control person left · inference
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