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•••••• C••••••• L••

Former SEC-registered adviserPlano, TexasCRD 142433SEC 801-71297IAPD
Latest filing Mar 23, 2015
First filing on the tape Mar 28, 2012 · 9 filings
RAUM
$1.0M
reported, Item 5.F
Discretionary
0.0%
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
3
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$1.0M as of Mar 23, 2015
Mar 28, 2012$343M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2015
Mar 28, 20120 then
Employees (5.A)3 as of Mar 23, 2015
Mar 25, 20133 then
Private funds: 3
RAUM -99% over the last fiscal year-86% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2015; every figure names its basis
RAUM per advisor
$500,000derivedRAUM 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
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-99%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, pension consulting, 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)
  • 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)
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
1reported
Financial planning clients
0reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• M•••• E••• · Member And Presidentcontrol
        since 10/2006 · owns 50% to 75%
      • S••••• J••••• V••••• · Inactive Membercontrol
        since 01/2013 · owns 50% to 75%
      • P••••••••• J•••••••• P••• · Vice President And Chief Compliance Officer
        since 07/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•••••••• L••••••• • A•••••••••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 1
        Sep 18, 2014 to Mar 23, 2015
      • Non-discretionary RAUM · $54.0M to $1.0M
        Sep 18, 2014 to Mar 23, 2015
      • RAUM · $54.0M to $1.0M
        Sep 18, 2014 to Mar 23, 2015
      • Advisory activities · 3 to 4
        Jun 12, 2014 to Aug 1, 2014
      • Accounts · 31 to 4
        Jan 30, 2014 to Jun 12, 2014
      • Non-discretionary RAUM · $125M to $54.0M
        Jan 30, 2014 to Jun 12, 2014
      • RAUM · $125M to $54.0M
        Jan 30, 2014 to Jun 12, 2014
      • HQ city · DALLAS to PLANO
        Jul 17, 2013 to Jan 30, 2014
      • Non-discretionary RAUM · $125M to $125M
        Jul 17, 2013 to Jan 30, 2014
      • RAUM · $125M to $125M
        Jul 17, 2013 to Jan 30, 2014
      • Accounts · 13 to 31
        Mar 28, 2012 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Mar 28, 2012 to Mar 25, 2013
      • Advisory activities · 4 to 3
        Mar 28, 2012 to Mar 25, 2013
      • Assets in custody · $27,416 to $0
        Mar 28, 2012 to Mar 25, 2013
      • Custody of client assets · true to false
        Mar 28, 2012 to Mar 25, 2013
      • Employees · unset to 3.0
        Mar 28, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 2
        Mar 28, 2012 to Mar 25, 2013
      • Private funds · 3 to unset
        Mar 28, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $343M to $125M
        Mar 28, 2012 to Mar 25, 2013
      • RAUM · $343M to $125M
        Mar 28, 2012 to Mar 25, 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