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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SEC-registered adviser
T•••• A•••• M••••••••• L••
Latest filing Jun 10, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Jul 2, 2008
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$3.2B as of Jun 10, 2026
Mar 30, 2012$247M then
HNW client RAUM$793M as of Mar 29, 2020
Mar 20, 2018$641M then
State-registered IARs (5.B.3)3 as of Jun 10, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Jun 10, 2026
Feb 22, 20133 then
Private funds5 as of Jun 10, 2026
Mar 30, 20124 then
RAUM +16% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $1.1BderivedRAUM 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
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- $1.8B, 5 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.8B96%
- Corporations and businesses$80.3M4.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 155reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.56 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••• S•••••• | Houston, Tx | Jan 1, 2009 | 19 y | 0 |
| M•••••• Z••••• | Houston, Tx | Jul 14, 2014 | 20 y | 0 |
| R•••• E••••• S••••• | Houston, Tx | May 5, 2016 | 31 y | 1 |
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
- R•••• E••••• S••••• from A•••• I••••••••• I•••May 5, 2016 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••••• B••••••• F••• I• L•• | Hedge Fund | $643M | 95 | Jan 9, 2019 |
| L••••••••• S••••• G••••• F••• I• L•• | Hedge Fund | $336M | 47 | Mar 30, 2021 |
| A••• C•••••• I••••• F••• L•• | Hedge Fund | $237M | 79 | Mar 30, 2012 |
| A••• C•••••• T•••• R••••• F••• L•• | Hedge Fund | $107M | 64 | Mar 30, 2012 |
| A••• C•••••• R••• E••••• F•••no longer reported | Real Estate Fund | $11.6M | 50 | Mar 30, 2012 |
| A••• C•••••• G••••• F•••no longer reported | Other Private Fund | $8.0M | 53 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••• J•••• A•••••• · Vice Presidentcontrolsince 06/2008 · owns less than 5%
- S••••••• M••• · President & Chief Investment Officercontrolsince 05/2008 · owns less than 5%
- Z•••••• M•••••• · Managing Director & Chief Operating Officercontrolsince 02/2011 · owns less than 5%
- L•••••• S•••••• C•••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- N•••••••• M••••••• G•••• L•• · Memberdirect · owns 75% or more
- E•••••••• I••••••••• A••••••• · Member And Elected Managerindirect · owns F of E•••••••• R••• E••••• P••••••• L••
- E•••••••• M••••••• L•• · Memberindirect · owns 25% to 50% of N•••••••• E•••••••• L••
- E•••••••• R••• E••••• P••••••• L•• · Memberindirect · owns 75% or more of E•••••••• M••••••• L••
- M• C•••••• P••••••• L•• · Ownerindirect · owns 75% or more of E•••••••• I••••••••• A••••••• L••
- N•••••••• E•••••••• L•• · Memberindirect · owns 75% or more of N•••••••• M••••••• G•••• L••
Related persons
Schedule D 7.A
- E•••••••• I••••••••• A•••••••investment adviserpooled vehicle sponsoryRAUM $12B
Advisers that list T•••• A•••• M••••••••• L•• as a related person
- 133550 y
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.
What changed
consecutive filings, newest first
- Accounts · 150 to 155Jan 16, 2026 to Feb 17, 2026
- Pooled vehicle clients · 4 to 5Jan 16, 2026 to Feb 17, 2026
- Assets in custody · $1.6B to $1.8BJan 16, 2026 to Feb 17, 2026
- Financial planning clients · 0 to Jan 16, 2026 to Feb 17, 2026
- Private funds · 4 to 5Jan 16, 2026 to Feb 17, 2026
- Discretionary RAUM · $2.8B to $3.2BJan 16, 2026 to Feb 17, 2026
- Pooled vehicle RAUM · $1.6B to $1.8BJan 16, 2026 to Feb 17, 2026
- RAUM · $2.8B to $3.2BJan 16, 2026 to Feb 17, 2026
- Accounts · 152 to 150Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $1.3B to $1.6BMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.4B to $2.8BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.3B to $1.6BMar 29, 2024 to Mar 31, 2025
- RAUM · $2.4B to $2.8BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Mar 28, 2023 to Mar 29, 2024
- Corporate clients · 3 to 4Mar 28, 2023 to Mar 29, 2024
- Assets in custody · $1.1B to $1.3BMar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.1B to $2.4BMar 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.1B to $1.3BMar 28, 2023 to Mar 29, 2024
- RAUM · $2.1B to $2.4BMar 28, 2023 to Mar 29, 2024
- Accounts · 147 to 152Aug 30, 2022 to Mar 28, 2023
- Advisory employees · 8 to 7Aug 30, 2022 to Mar 28, 2023
- Corporate clients · unset to 3.0Aug 30, 2022 to Mar 28, 2023
- Assets in custody · $1.1B to $1.1BAug 30, 2022 to Mar 28, 2023
- Employees · 11 to 10Aug 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.1B to $2.1BAug 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.1B to $1.1BAug 30, 2022 to Mar 28, 2023
- RAUM · $2.1B to $2.1BAug 30, 2022 to Mar 28, 2023
- Accounts · 141 to 147Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $899M to $1.1BMar 30, 2021 to Mar 31, 2022
- Employees · 10 to 11Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.7B to $2.1BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $899M to $1.1BMar 30, 2021 to Mar 31, 2022
- RAUM · $1.7B to $2.1BMar 30, 2021 to Mar 31, 2022
- Accounts · 142 to 141Feb 1, 2021 to Mar 30, 2021
- Advisory employees · 5 to 8Feb 1, 2021 to Mar 30, 2021
- Advisory activities · 3 to 2Feb 1, 2021 to Mar 30, 2021
- Charity clients · 0.0 to unsetFeb 1, 2021 to Mar 30, 2021
- Corporate clients · 0.0 to unsetFeb 1, 2021 to Mar 30, 2021
- HNW clients · 0.0 to unsetFeb 1, 2021 to Mar 30, 2021
Signals
4 dated events
- Paul Andrew Chica (Chief Compliance Officer) no longer on Schedule A of T•••• A•••• M••••••••• L•• (listed 2020-03-29, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- Marie Denise Adamczyk (Chief Compliance Officer) appeared on Schedule A of T•••• A•••• M••••••••• L••Feb 1, 2021 · Control person joined · fact
- T•••• A•••• M••••••••• L•• reported RAUM $1.5B, up 34% from $1.1B (2019-03-22 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- Paul Andrew Chica (Chief Compliance Officer) appeared on Schedule A of T•••• A•••• M••••••••• L••Mar 29, 2020 · Control person joined · fact
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 832-308-2748reportedpublic record, Form ADV, Jun 10, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
T•••• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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