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•••• H••••• F•••••••• G••••
Legal name S•••••••• O••• A•••••••• I•••
Latest filing Mar 29, 2017
First filing on the tape Mar 6, 2014 · 9 filings
RAUM
$195M
reported, Item 5.F
Discretionary
99%
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
5
4 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$195M as of Mar 29, 2017
Mar 30, 2015$165M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 29, 2017
Mar 30, 20154 then
Employees (5.A)5 as of Mar 29, 2017
Mar 30, 20157 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
- RAUM per advisor
- $48.6MderivedRAUM 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
- $235,808derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +13%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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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)
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
- 825reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- R•••••• L••• H••••• to P•• S••••••• C•••••• M••••••••• L••Mar 31, 2017 · Other
- A•••• J••• B••• to P•• S••••••• C•••••• M••••••••• L••Mar 31, 2017 · Other
- M•••••• J•••• A••••••• to P•• S••••••• C•••••• M••••••••• L••Mar 31, 2017 · Other
- B••••• L••• C•••• to P•• S••••••• C•••••• M••••••••• L••Mar 31, 2017 · Other
- A•••• J••• B••• to N•• A•••••• S•••••••• L••Dec 31, 2012 · Other
- S•••••• D•• H••••• to A••••••••• F•••••••• S•••••••• L••Nov 11, 2010 · Other
Joined, latest
- A•••• J••• B••• from N•• A•••••• S•••••••• L••Jan 22, 2015 · Other
- A•••• J••• B••• from V••• F•••••••• A•••••••• I•••Mar 12, 2012 · Other
- R•••••• L••• H••••• from S••••••••• A•••••• A•••••••• I•••Sep 25, 2008 · Other
- S•••••• D•• H••••• from S••••••••• A•••••• A•••••••• I•••Sep 25, 2008 · Other
- B••••• L••• C•••• from S••••••••• A•••••• A•••••••• I•••Sep 25, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for P•• S••••••• C•••••• M••••••••• L••Mar 31, 2017 · Austin, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• A••••• J••• · Chief Compliance Officercontrolsince 02/2015 · owns less than 5%
- C••••• B•••••• L••• · President/Treasurer/Secretarycontrolsince 01/2008 · 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 · 796 to 825Nov 7, 2016 to Mar 29, 2017
- Insurance-licensed employees · 0 to 4Nov 7, 2016 to Mar 29, 2017
- Discretionary RAUM · $171M to $193MNov 7, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $1.2M to $1.2MNov 7, 2016 to Mar 29, 2017
- RAUM · $173M to $195MNov 7, 2016 to Mar 29, 2017
- Accounts · 750 to 796Aug 28, 2015 to Mar 14, 2016
- BD registered reps · 5 to 4Aug 28, 2015 to Mar 14, 2016
- Employees · 7 to 5Aug 28, 2015 to Mar 14, 2016
- Discretionary RAUM · $164M to $171MAug 28, 2015 to Mar 14, 2016
- Non-discretionary RAUM · $1.4M to $1.2MAug 28, 2015 to Mar 14, 2016
- RAUM · $165M to $173MAug 28, 2015 to Mar 14, 2016
- Accounts · 656 to 750May 12, 2014 to Mar 30, 2015
- Advisory employees · 3 to 4May 12, 2014 to Mar 30, 2015
- BD registered reps · 3 to 5May 12, 2014 to Mar 30, 2015
- Employees · 6 to 7May 12, 2014 to Mar 30, 2015
- Financial planning clients · 101-250 to 251-500May 12, 2014 to Mar 30, 2015
- State-registered IARs · 3 to 4May 12, 2014 to Mar 30, 2015
- Discretionary RAUM · $138M to $164MMay 12, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $1.4M to $1.4MMay 12, 2014 to Mar 30, 2015
- RAUM · $140M to $165MMay 12, 2014 to Mar 30, 2015
Signals
1 dated events
- C•••• H••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Mar 6, 2014 · First SEC registration · fact
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