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•••• C•••••• A•••••••• L•

Former SEC-registered adviserHouston, TexasCRD 144128SEC 801-67957IAPD
Latest filing Oct 19, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$4.1B
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$60.9M gross assets
History
12 filings and snapshots on the tape
RAUM$4.1B as of Feb 13, 2017
Mar 30, 2012$528M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 13, 2017
Mar 26, 20131 then
Employees (5.A)12 as of Feb 13, 2017
Mar 26, 20138 then
Private funds1 as of Feb 13, 2017
Mar 30, 20121 then
RAUM +31% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 19, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+31%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
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$77.6M, 1 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
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
1,124reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $142M managedreported
Custody of client assets
$77.6M for 1 clientsreported
Compensation
% of AUM, 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
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
      • B••••• W••••••• H•••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 11/2012 · owns less than 5%
      • C•••••••• R•••••• T••••• · Senior Portfolio Managercontrol
        since 05/2007 · owns less than 5%
      • H••••••••• R•••••• E• · Director Of Operationscontrol
        since 10/2012 · owns less than 5%
      • H•••• D••••••• L••• · Portfolio Managercontrol
        since 04/2007 · owns less than 5%
      • I••••••• J••••• C•••••• · Director Of Tradingcontrol
        since 10/2012 · owns less than 5%
      • J••••••••• J•••••• · Senior Vice President And Director Of Researchcontrol
        since 03/2014 · owns less than 5%
      • S•••••• S•••••• W•••• · Portfolio Managercontrol
        since 04/2007 · owns less than 5%
      • T••••••• D••• C••••• · Senior Portfolio Managercontrol
        since 04/2007 · owns less than 5%
      • C•••••••• R•••••• T••••• · Membercontrol
        since 08/2011 · owns 75% or more of C••••••• F••••• I••••••••• L••
      • H•••• D••••••• L••• · Ownercontrol
        since 09/2004 · owns 50% to 75% of The G•••• S••••• G••••• L••
      • S•••••• S•••••• W•••• · Ownercontrol
        since 09/2004 · owns 50% to 75% of G•••• S••••• G••••• L••
      • T••••••• D••• C••••• · Ownercontrol
        since 04/2007 · owns 75% or more of T•••• C• I••••••••• L••
      Entity owners
      • C••••• C•••• C•••••• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      • C••••• C•••• C•••••• H•••••••• L•• · Limited Partner
        direct · owns 75% or more
      • C••••••• F••••• I••••••••• L•• · Member
        indirect · owns 25% to 50% of C••••• C•••• C•••••• H•••••••• L••
      • G•••• S••••• G••••• L•• · Member
        indirect · owns 25% to 50% of C••••• C•••• C•••••• H•••••••• L••
      • T•••• C• I••••••••• L•• · Member
        indirect · owns 25% to 50% of C••••• C•••• C•••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••••• C•••• C•••••• A•••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to unset
        Feb 13, 2017 to Oct 19, 2017
      • Other offices · unset to 0.0
        Feb 13, 2017 to Oct 19, 2017
      • Wrap assets (manager) · unset to 141925306.0
        Feb 13, 2017 to Oct 19, 2017
      • Wrap assets (sponsor) · unset to 0.0
        Feb 13, 2017 to Oct 19, 2017
      • Accounts · 1,128 to 1,124
        Feb 25, 2016 to Feb 13, 2017
      • Advisory employees · 8 to 6
        Feb 25, 2016 to Feb 13, 2017
      • Assets in custody · $60.9M to $77.6M
        Feb 25, 2016 to Feb 13, 2017
      • Discretionary RAUM · $3.1B to $4.0B
        Feb 25, 2016 to Feb 13, 2017
      • Non-discretionary RAUM · $27.6M to $53.3M
        Feb 25, 2016 to Feb 13, 2017
      • RAUM · $3.1B to $4.1B
        Feb 25, 2016 to Feb 13, 2017
      • Accounts · 969 to 1,128
        Mar 9, 2015 to Feb 25, 2016
      • Advisory employees · 7 to 8
        Mar 9, 2015 to Feb 25, 2016
      • Assets in custody · $112M to $60.9M
        Mar 9, 2015 to Feb 25, 2016
      • Employees · 11 to 12
        Mar 9, 2015 to Feb 25, 2016
      • Discretionary RAUM · $4.6B to $3.1B
        Mar 9, 2015 to Feb 25, 2016
      • Non-discretionary RAUM · $79.3M to $27.6M
        Mar 9, 2015 to Feb 25, 2016
      • RAUM · $4.6B to $3.1B
        Mar 9, 2015 to Feb 25, 2016
      • Accounts · 559 to 969
        Nov 20, 2014 to Mar 9, 2015
      • Advisory employees · 6 to 7
        Nov 20, 2014 to Mar 9, 2015
      • Assets in custody · $119M to $112M
        Nov 20, 2014 to Mar 9, 2015
      • Employees · 9 to 11
        Nov 20, 2014 to Mar 9, 2015
      • Discretionary RAUM · $3.2B to $4.6B
        Nov 20, 2014 to Mar 9, 2015
      • Non-discretionary RAUM · $56.2M to $79.3M
        Nov 20, 2014 to Mar 9, 2015
      • RAUM · $3.2B to $4.6B
        Nov 20, 2014 to Mar 9, 2015
      • Accounts · 154 to 559
        Mar 26, 2013 to Mar 17, 2014
      • Advisory employees · 4 to 6
        Mar 26, 2013 to Mar 17, 2014
      • Assets in custody · $87.7M to $119M
        Mar 26, 2013 to Mar 17, 2014
      • Employees · 8 to 9
        Mar 26, 2013 to Mar 17, 2014
      • State-registered IARs · 1 to 0
        Mar 26, 2013 to Mar 17, 2014
      • Organization form · Partnership to Limited Partnership
        Mar 26, 2013 to Mar 17, 2014
      • Discretionary RAUM · $1.2B to $3.2B
        Mar 26, 2013 to Mar 17, 2014
      • Non-discretionary RAUM · $14.4M to $56.2M
        Mar 26, 2013 to Mar 17, 2014
      • RAUM · $1.2B to $3.2B
        Mar 26, 2013 to Mar 17, 2014
      • Accounts · 22 to 154
        Nov 29, 2012 to Mar 26, 2013
      • Assets in custody · $87.1M to $87.7M
        Nov 29, 2012 to Mar 26, 2013
      • Discretionary RAUM · $520M to $1.2B
        Nov 29, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $8.1M to $14.4M
        Nov 29, 2012 to Mar 26, 2013
      • RAUM · $528M to $1.2B
        Nov 29, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Nov 29, 2012
      • Employees · unset to 8.0
        Mar 30, 2012 to Nov 29, 2012
      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