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

5••• A•••••••• L••

Former SEC-registered adviserHouston, TexasCRD 145814SEC 801-68824IAPD
Latest filing Nov 5, 2019
First filing on the tape Mar 26, 2012 · 21 filings
RAUM
$75.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$59.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$75.1M as of Mar 27, 2019
Mar 26, 2012$144M then
HNW client RAUM$32.7M as of Mar 27, 2019
Mar 30, 2018$32.7M then
State-registered IARs (5.B.3)1 as of Mar 27, 2019
Mar 26, 20120 then
Employees (5.A)1 as of Mar 27, 2019
Mar 21, 20134 then
Private funds: no history
RAUM -18% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 5, 2019; every figure names its basis
RAUM per advisor
$75.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.9MderivedHNW RAUM over HNW clients
Average account
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$59.3M79%
  • Charitable organizations$15.3M20%
  • Individuals$489,2750.7%
  • Corporations and businesses$420.0%
Individual clients
5reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
17reported
Financial planning clients
n/areported
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
      • S•••••• P•••••••• K•••• · Manager; And Chief Compliance Officercontrol
        since 12/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 17
        Mar 27, 2019 to Jun 19, 2019
      • HNW clients · 6 to 10
        Mar 27, 2019 to Jun 19, 2019
      • Individual clients · 6 to 5
        Mar 27, 2019 to Jun 19, 2019
      • Discretionary RAUM · $75.1M to $75.1M
        Mar 27, 2019 to Jun 19, 2019
      • HNW RAUM · $32.7M to $59.3M
        Mar 27, 2019 to Jun 19, 2019
      • Individual RAUM · $21.2M to $489,275
        Mar 27, 2019 to Jun 19, 2019
      • RAUM · $75.1M to $75.1M
        Mar 27, 2019 to Jun 19, 2019
      • Discretionary RAUM · $91.5M to $75.1M
        Nov 8, 2018 to Mar 27, 2019
      • Individual RAUM · $37.5M to $21.2M
        Nov 8, 2018 to Mar 27, 2019
      • RAUM · $91.5M to $75.1M
        Nov 8, 2018 to Mar 27, 2019
      • Insurance-licensed employees · 1 to 0
        Jul 3, 2018 to Nov 8, 2018
      • Related adviser · true to false
        Jun 26, 2018 to Jul 3, 2018
      • Accounts · 34 to 14
        Jun 17, 2017 to Mar 30, 2018
      • Charity clients · unset to 1.0
        Jun 17, 2017 to Mar 30, 2018
      • Corporate clients · unset to 1.0
        Jun 17, 2017 to Mar 30, 2018
      • HNW clients · unset to 6.0
        Jun 17, 2017 to Mar 30, 2018
      • Individual clients · unset to 6.0
        Jun 17, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Jun 17, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 17, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jun 17, 2017 to Mar 30, 2018
      • Discretionary RAUM · $88.0M to $91.5M
        Jun 17, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 32653775.0
        Jun 17, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 37532428.0
        Jun 17, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Jun 17, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 17, 2017 to Mar 30, 2018
      • RAUM · $88.0M to $91.5M
        Jun 17, 2017 to Mar 30, 2018
      • Accounts · 48 to 34
        Mar 28, 2017 to Jun 17, 2017
      • Advisory employees · 2 to 1
        Mar 28, 2017 to Jun 17, 2017
      • Employees · 2 to 1
        Mar 28, 2017 to Jun 17, 2017
      • Insurance-licensed employees · 2 to 1
        Mar 28, 2017 to Jun 17, 2017
      • State-registered IARs · 2 to 1
        Mar 28, 2017 to Jun 17, 2017
      • Discretionary RAUM · $84.8M to $88.0M
        Mar 28, 2017 to Jun 17, 2017
      • RAUM · $84.8M to $88.0M
        Mar 28, 2017 to Jun 17, 2017
      • Accounts · 146 to 48
        Sep 8, 2016 to Mar 28, 2017
      • Discretionary RAUM · $127M to $84.8M
        Sep 8, 2016 to Mar 28, 2017
      • RAUM · $127M to $84.8M
        Sep 8, 2016 to Mar 28, 2017
      • Advisory employees · 3 to 2
        Mar 29, 2016 to Sep 8, 2016
      • Employees · 4 to 2
        Mar 29, 2016 to Sep 8, 2016
      • State-registered IARs · 3 to 2
        Mar 29, 2016 to Sep 8, 2016
      • Accounts · 160 to 146
        Aug 7, 2015 to Mar 29, 2016
      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