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.

Former SEC-registered adviser

Jim Poe And Associates Inc.

Former SEC-registered adviserFt. Worth, TexasCRD 140232SEC 801-71822IAPD
Latest filing Aug 13, 2013
First filing on the tape Apr 30, 2012 · 6 filings
RAUM
$42.7M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$25.3M gross assets
History
6 filings and snapshots on the tape
RAUM$42.7M as of Aug 13, 2013
Apr 30, 2012$33.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 6
Private funds3 as of Aug 13, 2013
Apr 30, 20123 then
RAUM +28% over the last fiscal year
Practice profile
derived from the filing of Aug 13, 2013; every figure names its basis
RAUM per advisor
$42.7MderivedRAUM 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
$113,849derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
375reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
Every departureEvery arrival
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
P&C Dividend Capture Fund 1, LPHedge Fund$17.0M81Apr 30, 2012
P&C Value Added Fund, LPHedge Fund$4.3M27Apr 30, 2012
P&C Global Fund, LPHedge Fund$4.0M23Apr 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Emory James Poe · Chief Compliance Officercontrol
    since 01/2004 · owns 75% or more
  • Marie Dauphinais Poe · Director
    since 01/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dallas, Tx000
Ft Worth, Tx000
Offices
Schedule D 1.F, the 25 largest
  • Dallas, TX
What changed
consecutive filings, newest first
  • Accounts · 302 to 375
    Nov 16, 2012 to Aug 13, 2013
  • Financial planning clients · 251-500 to 51-100
    Nov 16, 2012 to Aug 13, 2013
  • Discretionary RAUM · $34.3M to $42.2M
    Nov 16, 2012 to Aug 13, 2013
  • Non-discretionary RAUM · $390,960 to $452,967
    Nov 16, 2012 to Aug 13, 2013
  • RAUM · $34.7M to $42.7M
    Nov 16, 2012 to Aug 13, 2013
  • Advisory employees · unset to 2.0
    Sep 19, 2012 to Oct 31, 2012
  • BD registered reps · unset to 0.0
    Sep 19, 2012 to Oct 31, 2012
  • Employees · unset to 6.0
    Sep 19, 2012 to Oct 31, 2012
  • State-registered IARs · unset to 1.0
    Sep 19, 2012 to Oct 31, 2012
  • Accounts · 300 to 302
    May 17, 2012 to Sep 19, 2012
  • Advisory activities · 3 to 2
    May 17, 2012 to Sep 19, 2012
  • Discretionary RAUM · $33.0M to $34.3M
    May 17, 2012 to Sep 19, 2012
  • Non-discretionary RAUM · $442,017 to $390,960
    May 17, 2012 to Sep 19, 2012
  • RAUM · $33.4M to $34.7M
    May 17, 2012 to Sep 19, 2012
Signals
2 dated events
  • Gary Max Goeppinger left Jim Poe And Associates Inc. for Lifestyle Asset Management, Inc. (registered 2025-08-15)
    Dec 31, 2024 · Advisor changed firm · fact
  • Ramon Vasquez Aguirre left Jim Poe And Associates Inc. for Maia Wealth (registered 2024-04-10)
    Apr 1, 2024 · Advisor changed firm · 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