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

T•• A•••• M••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 146981SEC 801-71886IAPD
Latest filing Dec 22, 2017
First filing on the tape Nov 17, 2011 · 45 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
89%
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
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
17
$1.1B gross assets
History
45 filings and snapshots on the tape
RAUM$2.2B as of Mar 31, 2017
Mar 29, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20133 then
Employees (5.A)12 as of Mar 31, 2017
Mar 28, 201320 then
Private funds17 as of Mar 31, 2017
Mar 29, 20127 then
RAUM +40% over the last fiscal year+66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 22, 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
$95.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+40%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • 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
  • Charitable organizations$386M65%
  • State and municipal entities$117M20%
  • Pension and profit-sharing plans$89.1M15%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• E••••• E••••• O••••••••• F•••• L•Hedge Fund$219M78Mar 29, 2012
      T•• E••••• C••••• O••••••••• F••• L•Hedge Fund$81.6M84Feb 3, 2015
      T•• M•••••••• O••••••••• F•••• L•Hedge Fund$74.7M27Mar 30, 2016
      T•• E••••• I••••••••• F••• P•••• L•Hedge Fund$46.1M47Mar 29, 2012
      T•• E••••• I••••••••• F•••• L•Hedge Fund$35.9M28Nov 20, 2012
      T•• E••••• I••••••••• O••••••• F•••• L•Hedge Fund$16.0M9Nov 20, 2012
      T•• E••••• C••••• O••••••••• O••••••• F••• L•Hedge Fund$5.5M9Feb 3, 2015
      T•• M••••••• O••••••••• O••••••• F•••• L•Hedge Fund$3.0M2Mar 30, 2016
      T•• E••••• E••••• O••••••••• O••••••• F•••• L•Hedge Fund$2.1M2Feb 3, 2015
      T•• E••••• E••••• P••••••• F•••• L•no longer reportedHedge Fund$018Mar 29, 2012
      T•• E••••• E••••• M••••• F•••• L•no longer reportedHedge Fund$00Mar 29, 2012
      T•• E••••• E••••• O••••••• F•••• L•no longer reportedHedge Fund$00Mar 29, 2012
      T•• E••••• C••••• O••••••••• M••••• F••• L•Hedge Fund$00Feb 3, 2015
      T•• E••••• E••••• M••••• N•••••• F••• L•no longer reportedHedge Fund$01Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• T••••• F•••• · Co-Head Of Asset Management And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • H•••• A••••• F•••••••• · Co-Head Of Asset Management And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • M••••• W•••••• N••••• · Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • N•• Y•••• · Chief Operating Officer And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • P••••••••• D•••••• R•• · President & Chief Investment Officer And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • P••••••• E••• M•••• A••••• · Chief Compliance Officer And Authorized Personcontrol
        since 12/2017 · owns less than 5%
      • P•••••• A••••••••• G•••••• · Chief Financial Officer And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      • S••••••••• V••••••• · General Counsel And Authorized Personcontrol
        since 12/2016 · owns less than 5%
      Entity owners
      • P•••••• W••••••• P••••••• G•••• L• · Direct Owner
        direct · owns 75% or more
      • P•••••• W••••••• P••••••• L•• · General Partner
        indirect · owns F of P•• H••••••• L•
      • P•••••• W••••••• P••••••• L•• · General Partner
        indirect · owns F of Pwp P••••••••• Partners LP
      • P•• G•••• G• L•• · General Partner
        indirect · owns F of P•••••• W••••••• P••••••• G•••• L•
      • P•• H••••••• L• · Limited Partner
        indirect · owns 75% or more of P•••••• W••••••• P••••••• G•••• L•
      • P•• P••••••••• P••••••• L• · Limited Partner
        indirect · owns 75% or more of P•• H••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list T•• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 1.0
        Apr 5, 2017 to Dec 22, 2017
      • Pension RAUM · unset to 89106302.0
        Apr 5, 2017 to Dec 22, 2017
      • Accounts · 31 to 23
        Dec 14, 2016 to Mar 31, 2017
      • Advisory employees · 16 to 7
        Dec 14, 2016 to Mar 31, 2017
      • Advisory activities · 4 to 3
        Dec 14, 2016 to Mar 31, 2017
      • BD registered reps · 7 to 3
        Dec 14, 2016 to Mar 31, 2017
      • Assets in custody · $1.6B to $0
        Dec 14, 2016 to Mar 31, 2017
      • Custody of client assets · true to false
        Dec 14, 2016 to Mar 31, 2017
      • Employees · 27 to 12
        Dec 14, 2016 to Mar 31, 2017
      • Organization form · Limited Liability Company to Limited Partnership
        Dec 14, 2016 to Mar 31, 2017
      • Private funds · 19 to 17
        Dec 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.3B to $2.0B
        Dec 14, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $308M to $233M
        Dec 14, 2016 to Mar 31, 2017
      • RAUM · $1.6B to $2.2B
        Dec 14, 2016 to Mar 31, 2017
      • Related bank · false to true
        Jul 8, 2016 to Dec 14, 2016
      • Accounts · 20 to 31
        Jul 31, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 16
        Jul 31, 2015 to Mar 30, 2016
      • BD registered reps · 5 to 7
        Jul 31, 2015 to Mar 30, 2016
      • Assets in custody · $915M to $1.6B
        Jul 31, 2015 to Mar 30, 2016
      • Employees · 20 to 27
        Jul 31, 2015 to Mar 30, 2016
      • State-registered IARs · 3 to 0
        Jul 31, 2015 to Mar 30, 2016
      • Private funds · 15 to 19
        Jul 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.1B to $1.3B
        Jul 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $154M to $308M
        Jul 31, 2015 to Mar 30, 2016
      • RAUM · $1.2B to $1.6B
        Jul 31, 2015 to Mar 30, 2016
      • Accounts · 16 to 20
        May 22, 2015 to Jul 14, 2015
      • Advisory activities · 3 to 4
        May 22, 2015 to Jul 14, 2015
      • Discretionary RAUM · $908M to $1.1B
        May 22, 2015 to Jul 14, 2015
      • RAUM · $1.1B to $1.2B
        May 22, 2015 to Jul 14, 2015
      • Accounts · 12 to 16
        Mar 30, 2015 to Apr 13, 2015
      • Private funds · 14 to 15
        Mar 30, 2015 to Apr 13, 2015
      • Discretionary RAUM · $761M to $908M
        Mar 30, 2015 to Apr 13, 2015
      • RAUM · $915M to $1.1B
        Mar 30, 2015 to Apr 13, 2015
      • Assets in custody · $318M to $915M
        Aug 4, 2014 to Feb 3, 2015
      • Private funds · 10 to 14
        Aug 4, 2014 to Feb 3, 2015
      • Discretionary RAUM · $712M to $761M
        Aug 4, 2014 to Feb 3, 2015
      • RAUM · $866M to $915M
        Aug 4, 2014 to Feb 3, 2015
      • Discretionary RAUM · $712M to $712M
        Jul 9, 2014 to Aug 4, 2014
      • RAUM · $866M to $866M
        Jul 9, 2014 to Aug 4, 2014
      • Accounts · 9 to 12
        May 14, 2014 to Jul 9, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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