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

H••••• W••••• L••

Former SEC-registered adviserDallas, TexasCRD 147427SEC 801-69274IAPD
Latest filing Feb 20, 2013
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$160M
reported, Item 5.F
Discretionary
100%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
13
$160M gross assets
History
2 filings and snapshots on the tape
RAUM$160M as of Feb 20, 2013
Mar 30, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 5
Private funds13 as of Feb 20, 2013
Mar 30, 201212 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 20, 2013; every figure names its basis
RAUM per advisor
$53.4MderivedRAUM 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
$13.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$163M, 12 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$163M for 12 clientsreported
Compensation
% of AUM, 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• W•••• R••••••••• S••••••••• F•••• L•••Real Estate Fund$39.8M26Mar 30, 2012
      B••••••••• I••••••••• L••Real Estate Fund$37.1M4Mar 30, 2012
      H•• R••••• L•••Real Estate Fund$31.6M21Mar 30, 2012
      H•• Z•••••••• L•••Real Estate Fund$19.9M17Mar 30, 2012
      H• A••••••• I••••••••• L•••Real Estate Fund$10.6M4Mar 30, 2012
      H• C•• P•••••••• L•••Real Estate Fund$7.3M15Mar 30, 2012
      H• M••••••• P••••••••• L•••Real Estate Fund$5.8M6Mar 30, 2012
      H• W••••••••• I••••••••• L•••Real Estate Fund$4.2M10Mar 30, 2012
      H• P•••••• P•••••••• L•••Real Estate Fund$2.0M1Mar 30, 2012
      H• P•••••• P••••••• I•• L•••Real Estate Fund$1.9M1Mar 30, 2012
      H• C••••••• I••••••••• P••••••• L•Real Estate Fund$162,5912Feb 20, 2013
      H• A•••••••• P••••••••• L••Real Estate Fund$00Mar 30, 2012
      H••••• W•••• A•••••••• P••••••••• L••Real Estate Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• J••• T••••• · Chief Compliance Officercontrol
        since 12/2012 · owns less than 5%
      • W••••• J••••• C••• · Ceocontrol
        since 01/2008 · owns less than 5%
      • B•••• J• K••• · Membercontrol
        since 06/2001 · owns 75% or more of H••••• I••••••••• L••
      • B•••• J• K••• · Trusteecontrol
        since 08/2009 · owns F of B••• F••••• R•••••••• T••••
      • W••••• J••••• C••• · Ownercontrol
        since 06/2009 · owns 75% or more of W•••• Capital LP
      Entity owners
      • H••••• C•••••• M••••••••• L• · Member
        direct · owns 25% to 50%
      • W•••• C•••••• S••• L• · Managing Member
        direct · owns 50% to 75%
      • B••• F••••• R•••••••• T•••• · Limited Partner
        indirect · owns 75% or more of H••••• Capital Management, L.P.
      • H••••• I••••••••• L•• · General Partner
        indirect · owns F of H••••• Capital Management, L.P.
      • W•••• C••••••• L••• · Owner
        indirect · owns 75% or more of W•••• C•••••• S••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Feb 20, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Feb 20, 2013
      • Insurance-licensed employees · 1 to 0
        Mar 30, 2012 to Feb 20, 2013
      • State-registered IARs · unset to 3.0
        Mar 30, 2012 to Feb 20, 2013
      • Private funds · 12 to 13
        Mar 30, 2012 to Feb 20, 2013
      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
      Across the graphs

      H••••• W••••• 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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