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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SEC-registered adviser
B•••••••• C•••••• M••••••••• L•
Latest filing Apr 10, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Apr 13, 2006
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$1.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$133M as of Apr 10, 2026
Mar 29, 2012$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 10, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Apr 10, 2026
Apr 1, 20135 then
Private funds7 as of Apr 10, 2026
Mar 29, 20122 then
RAUM -25% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
- RAUM per advisor
- $66.5MderivedRAUM 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
- $16.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%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 individuals, portfolio management for pooled vehiclesreportedItem 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)
- 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
- Pooled investment vehicles$132M99%
- Individuals$1.3M1.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• J••••• F•••••••• | Houston, Tx | Apr 27, 2006 | 27 y | 0 |
| E••• D•••••••• | Houston, Tx | Apr 28, 2006 | 33 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• O••••••••• O••••••• F•••• L••no longer reported | Hedge Fund | $272M | 85 | Mar 28, 2014 |
| B•••••••• P•••••• E••••• P••••••• I• L• | Private Equity Fund | $185M | 7 | Mar 26, 2018 |
| B•••••••• S•• I•• L• | Private Equity Fund | $54.3M | 11 | Mar 30, 2020 |
| B•••••••• S•• I• L• | Private Equity Fund | $53.0M | 84 | Mar 15, 2019 |
| B•••••••• S•• V• L• | Private Equity Fund | $45.6M | 4 | Mar 30, 2020 |
| B•••••••• S•• I• L• | Private Equity Fund | $45.4M | 14 | Mar 15, 2019 |
| B•••••••• S•• I• L• | Private Equity Fund | $28.1M | 2 | Mar 30, 2020 |
| B•••••••• O••••••••• F••• L• | Hedge Fund | $21.2M | 206 | Mar 29, 2012 |
| B•••••••• O••••••••• F••• I•• L•no longer reported | Hedge Fund | $13.0M | 36 | Nov 5, 2014 |
| B•••••••• S•• V• L• | Private Equity Fund | $10.9M | 1 | Mar 28, 2024 |
| B•••••••• O••••••••• F••• P•••••• L• | Private Equity Fund | $9.1M | 12 | Mar 24, 2021 |
| B•••••••• M•• • I••••••••• C••••• F••• L•no longer reported | Hedge Fund | $5.2M | 8 | Mar 26, 2018 |
| B•••••••• M•• L• | Private Equity Fund | $1.1M | 1 | Mar 27, 2023 |
| B•••••••• P•••••• E••••• P••••••• L• | Private Equity Fund | $0 | 8 | Mar 31, 2017 |
| B•••••••• P•••••• C••••• • D••••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 15, 2019 |
| B•••••••• C•••••• P••••••• ••• L•no longer reported | Hedge Fund | $0 | 15 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• E••• · L•••••• Partnercontrolsince 02/2006 · owns 25% to 50%
- F••••••••• A•••• J••••• · L•••••• Partnercontrolsince 02/2006 · owns 25% to 50%
- D••••••••• E••• · Membercontrolsince 02/2006 · owns 25% to 50% of B•••••••• C•••••• A••••••• L••
- F••••••••• A•••• J••••• · Membercontrolsince 02/2006 · owns 25% to 50% of B•••••••• C•••••• A••••••• L••
- K•••••• H••••• R• · Class A Shareholdercontrolsince 10/2009 · owns 25% to 50% of K•• H••••••• G• L••••••
- R••••••• G•••••• R•••••••• · Class A Shareholdercontrolsince 10/2009 · owns 25% to 50% of K•• H••••••• G• L••••••
- J••••• S••••••• P••• · Ccosince 09/2020 · owns less than 5%
Entity owners
- B•••••••• C•••••• A••••••• L•• · General Partnerdirect · owns less than 5%
- K•• • C•• L••••• · L•••••• Partnerindirect · owns 50% to 75% of K•• M••••••••• H••••••• L•••
- K•• • C•• L••• · L•••••• Partnerindirect · owns 75% or more of K•• G•••• H••••••• L••• · public reporting company
- K•• • C•• L••• · Shareholderindirect · owns F of K•• G•••• L•••••• · public reporting company
- K•• G•••• H••••••• L••• · Shareholderindirect · owns 75% or more of K•• M••••••••• H••••••• C••••
- K•• G•••• L•••••• · General Partnerindirect · owns F of K•• G•••• H••••••• L•••
- K•• H••••••• G• L•••••• · General Partnerindirect · owns F of K•• H••••••• L•••
- K•• H••••••• L••• · Memberindirect · owns 75% or more of K•• • C•• L•••••
- K•• M••••••••• H••••••• C•••• · General Partnerindirect · owns 25% to 50% of K•• M••••••••• H••••••• L•••
- K•• M••••••••• H••••••• L••• · L•••••• Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••••••• G• L•bankpooled vehicle sponsorn
- B•••••••• P•••••• G• I• L•pooled vehicle sponsorn
- B•••••••• P•••••• G• L•pooled vehicle sponsorn
- B•••••••• S•• G• I• L•pooled vehicle sponsorn
- B•••••••• S•• G• I• L•pooled vehicle sponsorn
- B•••••••• S•• G• I•• L•pooled vehicle sponsorn
- B•••••••• S•• G• I• L•pooled vehicle sponsorn
- B•••••••• S•• G• V• L•pooled vehicle sponsorn
- B•••••••• S•• G• V• L•pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 8Mar 31, 2026 to Apr 10, 2026
- Accounts · 8 to 7Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Individual clients · 1.0 to unsetMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $178M to $133MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $177M to $132MMar 31, 2025 to Mar 31, 2026
- RAUM · $178M to $133MMar 31, 2025 to Mar 31, 2026
- Accounts · 20 to 8Mar 28, 2024 to Mar 31, 2025
- Advisory activities · 3 to 2Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 4.0 to unsetMar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 11 to 7Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 11 to 7Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $595M to $178MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $1.2M to $1.3MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $489M to $177MMar 28, 2024 to Mar 31, 2025
- RAUM · $595M to $178MMar 28, 2024 to Mar 31, 2025
- Related bank · true to falseMar 28, 2024 to Mar 31, 2025
- Charity clients · 1.0 to unsetMay 23, 2023 to Mar 28, 2024
- Corporate clients · 3 to 4May 23, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 11May 23, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 0May 23, 2023 to Mar 28, 2024
- Private funds · 10 to 11May 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $587M to $595MMay 23, 2023 to Mar 28, 2024
- Individual RAUM · $2.4M to $1.2MMay 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $507M to $489MMay 23, 2023 to Mar 28, 2024
- RAUM · $587M to $595MMay 23, 2023 to Mar 28, 2024
- Accounts · 19 to 20May 5, 2022 to Mar 27, 2023
- Pooled vehicle clients · 12 to 13May 5, 2022 to Mar 27, 2023
- Private funds · 9 to 10May 5, 2022 to Mar 27, 2023
- Discretionary RAUM · $508M to $587MMay 5, 2022 to Mar 27, 2023
- Individual RAUM · $2.0M to $2.4MMay 5, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $430M to $507MMay 5, 2022 to Mar 27, 2023
- RAUM · $508M to $587MMay 5, 2022 to Mar 27, 2023
- Advisory employees · 4 to 3Mar 24, 2021 to Mar 16, 2022
- Employees · 5 to 4Mar 24, 2021 to Mar 16, 2022
- Discretionary RAUM · $748M to $508MMar 24, 2021 to Mar 16, 2022
- Individual RAUM · $2.0M to $2.0MMar 24, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $628M to $430MMar 24, 2021 to Mar 16, 2022
- RAUM · $748M to $508MMar 24, 2021 to Mar 16, 2022
Signals
4 dated events
- B•••••••• C•••••• M••••••••• L• reported RAUM $178.0M, down 70% from $594.6M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B•••••••• C•••••• M••••••••• L• reported RAUM $507.7M, down 32% from $747.5M (2021-03-24 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- B•••••••• C•••••• M••••••••• L• reported RAUM $807.4M, down 35% from $1.2B (2019-07-08 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A••••• L•••• (Cco) no longer on Schedule A of B•••••••• C•••••• M••••••••• L• (listed 2018-04-20, absent 2019-03-15)Mar 15, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B•••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- B•••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- B••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-795-6613reportedpublic record, Form ADV, Apr 10, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026