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

F•••• H•••••• C••••••• I•••

Former SEC-registered adviserH••••••, TexasCRD 140123SEC 801-66647IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$125M
reported, Item 5.F
Discretionary
93%
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$125M as of Mar 24, 2017
Mar 30, 2012$96.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 24, 2017
Mar 30, 20120 then
Employees (5.A)4 as of Mar 24, 2017
Mar 28, 20135 then
Private funds: no history
RAUM -0.6% over the last fiscal year+1.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2017; every figure names its basis
RAUM per advisor
$62.5MderivedRAUM 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
$862,469derivedRAUM over accounts (5.F.2.f)
Discretionary
93%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
-0.6%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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)
  • 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
145reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• J••••• H•••• · Senior Vice Presidentcontrol
    since 09/2006 · owns less than 5%
  • L•••••• R••••••• G••••• · President, Chief Compliance Officercontrol
    since 03/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 150 to 145
    Feb 17, 2017 to Mar 24, 2017
  • Discretionary RAUM · $120M to $116M
    Feb 17, 2017 to Mar 24, 2017
  • Non-discretionary RAUM · $5.5M to $9.0M
    Feb 17, 2017 to Mar 24, 2017
  • RAUM · $126M to $125M
    Feb 17, 2017 to Mar 24, 2017
  • Accounts · 145 to 150
    Mar 31, 2015 to Mar 30, 2016
  • Discretionary RAUM · $123M to $120M
    Mar 31, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $0 to $5.5M
    Mar 31, 2015 to Mar 30, 2016
  • RAUM · $123M to $126M
    Mar 31, 2015 to Mar 30, 2016
  • Accounts · 160 to 145
    Sep 24, 2014 to Mar 31, 2015
  • Discretionary RAUM · $113M to $123M
    Sep 24, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $8.3M to $0
    Sep 24, 2014 to Mar 31, 2015
  • RAUM · $122M to $123M
    Sep 24, 2014 to Mar 31, 2015
  • Employees · 5 to 4
    Mar 31, 2014 to Sep 24, 2014
  • Accounts · 172 to 160
    Mar 28, 2013 to Mar 31, 2014
  • Discretionary RAUM · $7.3M to $113M
    Mar 28, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $101M to $8.3M
    Mar 28, 2013 to Mar 31, 2014
  • RAUM · $108M to $122M
    Mar 28, 2013 to Mar 31, 2014
  • Accounts · 175 to 172
    Mar 30, 2012 to Mar 28, 2013
  • Advisory employees · unset to 2.0
    Mar 30, 2012 to Mar 28, 2013
  • Employees · unset to 5.0
    Mar 30, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 2
    Mar 30, 2012 to Mar 28, 2013
  • Discretionary RAUM · $96.7M to $7.3M
    Mar 30, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $0 to $101M
    Mar 30, 2012 to Mar 28, 2013
  • RAUM · $96.7M to $108M
    Mar 30, 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