DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•••••• C••••••• L•••••
Latest filing Mar 23, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Apr 17, 2012
RAUM
$804M
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
$804M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$804M as of Mar 23, 2026
Mar 8, 2013$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 8, 20131 then
Employees (5.A)5 as of Mar 23, 2026
Mar 8, 20136 then
Private funds1 as of Mar 23, 2026
Mar 8, 20131 then
RAUM +29% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- $804MderivedRAUM 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
- $402MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $637M, 1 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$637M79%
- Charitable organizations$167M21%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $637M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.79 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A•••• H••••••••• | Dallas, Tx | Mar 18, 2008 | 28 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 |
|---|---|---|---|---|
| N•••••• C•••••• M••••• F•••• L••• | Hedge Fund | $451M | 76 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• B••••• A•••• · Manager And Membercontrolsince 10/2007 · owns 75% or more
- L•••••• K••••••• K•••••••• · Chief Compliance Officer And Chief Financial Officer (As Of July 30, 2024)controlsince 07/2024 · owns less than 5%
Related persons
Schedule D 7.A
- N•••••• C•••••• A•••••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Larkspur, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 23, 2026institutional share of RAUM of 21% against a peer median of 0% (784 comparable advisers, 99.0th percentile, 7.0 robust deviations)peers: asset managers, $500M to $1B (784) · 99% percentile
What changed
consecutive filings, newest first
- Assets in custody · $473M to $637MMar 28, 2025 to Mar 23, 2026
- Discretionary RAUM · $621M to $804MMar 28, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $473M to $637MMar 28, 2025 to Mar 23, 2026
- RAUM · $621M to $804MMar 28, 2025 to Mar 23, 2026
- Assets in custody · $451M to $473MAug 20, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $641M to $621MAug 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $451M to $473MAug 20, 2024 to Mar 28, 2025
- RAUM · $641M to $621MAug 20, 2024 to Mar 28, 2025
- Assets in custody · $333M to $451MMay 17, 2023 to Mar 21, 2024
- Employees · 4 to 5May 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $530M to $641MMay 17, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $333M to $451MMay 17, 2023 to Mar 21, 2024
- RAUM · $530M to $641MMay 17, 2023 to Mar 21, 2024
- HQ city · unset to DALLASMar 30, 2023 to May 17, 2023
- HQ state · unset to TXMar 30, 2023 to May 17, 2023
- Other offices · 2 to 1Mar 30, 2023 to May 17, 2023
- Assets in custody · $0 to $333MMar 4, 2022 to Mar 30, 2023
- Other offices · 0 to 2Mar 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $387M to $530MMar 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $242M to $333MMar 4, 2022 to Mar 30, 2023
- RAUM · $387M to $530MMar 4, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Jul 12, 2021 to Mar 4, 2022
- Employees · 5 to 4Jul 12, 2021 to Mar 4, 2022
- Discretionary RAUM · $409M to $387MJul 12, 2021 to Mar 4, 2022
- Pooled vehicle RAUM · $333M to $242MJul 12, 2021 to Mar 4, 2022
- RAUM · $409M to $387MJul 12, 2021 to Mar 4, 2022
- Advisory activities · 1 to 2Mar 23, 2020 to Jan 23, 2021
- Charity clients · unset to 1.0Mar 23, 2020 to Jan 23, 2021
- Employees · 6 to 5Mar 23, 2020 to Jan 23, 2021
- HQ city · DALLAS to unsetMar 23, 2020 to Jan 23, 2021
- HQ state · TX to unsetMar 23, 2020 to Jan 23, 2021
- Discretionary RAUM · $624M to $409MMar 23, 2020 to Jan 23, 2021
- Pooled vehicle RAUM · $624M to $333MMar 23, 2020 to Jan 23, 2021
- RAUM · $624M to $409MMar 23, 2020 to Jan 23, 2021
- Accounts · 1 to 2Mar 23, 2020 to Jan 23, 2021
- Advisory employees · 5 to 4Mar 23, 2020 to Jan 23, 2021
- Advisory employees · 6 to 5Mar 22, 2019 to Mar 23, 2020
- Employees · 7 to 6Mar 22, 2019 to Mar 23, 2020
- Discretionary RAUM · $1.1B to $624MMar 22, 2019 to Mar 23, 2020
Signals
7 dated events
- N•••••• C••••••• L••••• reported RAUM $804.2M, up 29% from $621.2M (2025-03-28 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- Katherine Kendall Lunney (Chief Compliance Officer And Chief Financial Officer (As Of July 30, 2024)) appeared on Schedule A of N•••••• C••••••• L•••••Aug 20, 2024 · Control person joined · fact
- Suvarna Kutty (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of N•••••• C••••••• L••••• (listed 2024-03-21, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- N•••••• C••••••• L••••• reported RAUM $530.0M, up 37% from $387.2M (2022-03-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- N•••••• C••••••• L••••• reported RAUM $408.8M, down 34% from $623.9M (2020-03-23 to 2021-01-23)Jan 23, 2021 · RAUM change · derived
- N•••••• C••••••• L••••• reported RAUM $623.9M, down 41% from $1.1B (2019-03-22 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- N•••••• C••••••• L••••• reported RAUM $1.1B, up 129% from $461.0M (2018-03-20 to 2019-03-22)Mar 22, 2019 · 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
- Principal office phone
- 972.590.4100reportedpublic record, Form ADV, Mar 23, 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
- $804Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026