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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••• A••• L•••
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 17 filings
SEC status approved since Jul 14, 2006
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Apr 2, 2012$379M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 2, 20120 then
Employees (5.A)11 as of Mar 31, 2026
Apr 1, 20139 then
Private funds1 as of Mar 31, 2026
Apr 2, 20121 then
RAUM +10% over the last fiscal year+8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.5BderivedRAUM 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
- $1.5BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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
- otherreportedItem 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)
- 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$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Q••••• L•• | Austin, Tx | Jul 26, 2006 | 27 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• C•••••• P•••••••• L••• | Hedge Fund | $1.4B | 75 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••• Q•••••• J•••• · Limited Partnercontrolsince 03/1999 · owns 75% or more
- P•••••••• B•••••• A••• · Chief Financial Officercontrolsince 11/2009 · owns less than 5%
- R••••• P•••••••• G•••••• · Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
- L••• Q•••••• J•••• · Managing Membercontrolsince 03/1999 · owns 75% or more of T••••• I•• L•••••
Entity owners
- T••••• I•• L••••• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- W•••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Employees · 12 to 11Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Mar 28, 2024 to Mar 31, 2025
- Employees · 11 to 12Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.4B to $1.4BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.4BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.4BMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.4BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.4BMar 31, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.4BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 9 to 8Mar 31, 2022 to Mar 31, 2023
- Employees · 12 to 11Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.8B to $1.2BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.8B to $1.2BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.8B to $1.2BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Mar 31, 2021 to Mar 31, 2022
- Employees · 13 to 12Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.0B to $1.8BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.0B to $1.8BMar 31, 2021 to Mar 31, 2022
- RAUM · $2.0B to $1.8BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 8 to 10Mar 30, 2020 to Mar 31, 2021
- Employees · 11 to 13Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.7B to $2.0BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.7B to $2.0BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.7B to $2.0BMar 30, 2020 to Mar 31, 2021
- Employees · 12 to 11Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.5B to $1.7BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.5B to $1.7BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.5B to $1.7BMar 29, 2019 to Mar 30, 2020
- Employees · 11 to 12Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.6B to $1.5BMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.6B to $1.5BMar 29, 2018 to Mar 29, 2019
- RAUM · $1.6B to $1.5BMar 29, 2018 to Mar 29, 2019
- Advisory employees · 7 to 8Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Employees · 10 to 11Mar 31, 2017 to Mar 29, 2018
Signals
1 dated events
- A•••••• A••• L••• reported RAUM $1.2B, down 34% from $1.8B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- T••••CAPITAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512.351.4440reportedpublic record, Form ADV, Mar 31, 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
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026