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.
SEC-registered adviser
Core Capital Management And Research Inc.
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jan 3, 2011
RAUM
$299M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
46%
$136M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$299M as of Mar 30, 2026
Mar 29, 2012$462M then
HNW client RAUM$122M as of Mar 30, 2026
Mar 22, 2018$20.8M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Apr 1, 20130 then
Private funds: no history
RAUM +23% over the last fiscal year-38% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $99.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $738,721derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M41%
- Charitable organizations$93.8M31%
- Corporations and businesses$47.0M16%
- Pension and profit-sharing plans$21.7M7.3%
- Individuals$14.4M4.8%
- Individual clients
- 79reported
- HNW clients
- 165reported
- Pension plan clients
- 6reported
- Charitable clients
- 6reported
- Accounts
- 269reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.46 fund_share=0.0 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Louis John Pelz | Houston, Tx | Feb 7, 2008 | 33 y | 3 |
| John James Barry | Houston, Tx | Feb 24, 2016 | 18 y | 1 |
| Gregory Anthony Hadley | Wilmette, Il | May 4, 2023 | 15 y | 2 |
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 headcount1 left over 36 months
Left, latest
- Sean Joseph Conti to Ae Wealth Management, LLCSep 26, 2023 · Other
Joined, latest
- Gregory Anthony Hadley from Belpointe Asset Management LLCMay 4, 2023 · Other
- Sean Joseph Conti from Cx Institutional, LLCMar 30, 2022 · Other
- John James Barry from Global Financial Private Capital, Inc.Feb 24, 2016 · Other
- Louis John Pelz from Golden Beneficial Securities CorporationFeb 7, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Louis Pelz · President/Chief Compliance Officercontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 30, 2026institutional share of RAUM of 39% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 12.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 221 to 269Apr 1, 2025 to Mar 30, 2026
- Corporate clients · 15 to 13Apr 1, 2025 to Mar 30, 2026
- HNW clients · 148 to 165Apr 1, 2025 to Mar 30, 2026
- Individual clients · 46 to 79Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $139M to $152MApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $75.0M to $122MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $6.6M to $14.4MApr 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $105M to $147MApr 1, 2025 to Mar 30, 2026
- Pension RAUM · $19.0M to $21.7MApr 1, 2025 to Mar 30, 2026
- RAUM · $243M to $299MApr 1, 2025 to Mar 30, 2026
- Accounts · 203 to 221Jul 31, 2024 to Apr 1, 2025
- Advisory activities · 4 to 5Jul 31, 2024 to Apr 1, 2025
- Charity clients · 8 to 6Jul 31, 2024 to Apr 1, 2025
- Corporate clients · 10 to 15Jul 31, 2024 to Apr 1, 2025
- HNW clients · 140 to 148Jul 31, 2024 to Apr 1, 2025
- Individual clients · 38 to 46Jul 31, 2024 to Apr 1, 2025
- Pension plan clients · 7 to 6Jul 31, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 1-10Jul 31, 2024 to Apr 1, 2025
- Discretionary RAUM · $101M to $139MJul 31, 2024 to Apr 1, 2025
- HNW RAUM · $73.8M to $75.0MJul 31, 2024 to Apr 1, 2025
- Individual RAUM · $4.3M to $6.6MJul 31, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.2B to $105MJul 31, 2024 to Apr 1, 2025
- Pension RAUM · $18.7M to $19.0MJul 31, 2024 to Apr 1, 2025
- RAUM · $1.3B to $243MJul 31, 2024 to Apr 1, 2025
- HNW RAUM · $67.4M to $73.8MNov 2, 2023 to Mar 27, 2024
- Individual RAUM · $3.7M to $4.3MNov 2, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.1B to $1.2BNov 2, 2023 to Mar 27, 2024
- Pension RAUM · $3.9M to $18.7MNov 2, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.3BNov 2, 2023 to Mar 27, 2024
- Accounts · 167 to 203Nov 2, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Nov 2, 2023 to Mar 27, 2024
- Advisory activities · 3 to 4Nov 2, 2023 to Mar 27, 2024
- Corporate clients · 5 to 10Nov 2, 2023 to Mar 27, 2024
- HNW clients · 115 to 140Nov 2, 2023 to Mar 27, 2024
- Individual clients · 35 to 38Nov 2, 2023 to Mar 27, 2024
- Pension plan clients · 4 to 7Nov 2, 2023 to Mar 27, 2024
- Employees · 3 to 4Nov 2, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 4Nov 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $91.0M to $101MNov 2, 2023 to Mar 27, 2024
- Accounts · 137 to 167Jul 14, 2022 to Mar 30, 2023
Signals
4 dated events
- Core Capital Management And Research Inc. reported RAUM $243.1M, down 82% from $1.3B (2024-07-31 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- Sean Joseph Conti left Core Capital Management And Research Inc. for Ae Wealth Management, Llc (registered 2023-06-15)Sep 26, 2023 · Advisor changed firm · fact
- Core Capital Management And Research Inc. reported RAUM $912.3M, up 360% from $198.5M (2019-03-08 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Core Capital Management And Research Inc. reported RAUM $198.5M, down 79% from $932.9M (2018-03-22 to 2019-03-08)Mar 8, 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
- Business phone
- 713-864-4300reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- CCMR.IOreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-864-4300reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $99.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026