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
R•••••••• A•••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 31, 2023 · 13 filings
SEC status approved since May 1, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
4
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Apr 1, 2026
Mar 12, 2024$148M then
HNW client RAUM$0 as of Apr 1, 2026
Mar 12, 2024$0 then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 12, 20241 then
Employees (5.A)5 as of Apr 1, 2026
Mar 12, 20247 then
Private funds4 as of Apr 1, 2026
Mar 12, 20244 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $126M, 4 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- A•••••• J•••• A••••• to S••••••• C•••••• L••Jan 5, 2024 · Other
- J•••• T•••••• H••••• to A•••••• A••••••• S•••••••Jul 23, 2015 · Other
- B•••••• P•••• to A••••••••• F•••••••• S•••••••• L••Nov 16, 2012 · Other
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• V••• L• | Other Private Fund | $61.3M | 49 | Mar 31, 2023 |
| R••• V•• L• • Q• S••••• 1• | Other Private Fund | $53.9M | 138 | Mar 31, 2023 |
| R••• V•• L• • Q• S••••• 2• | Other Private Fund | $27.7M | 47 | Mar 31, 2023 |
| R••• V• L• | Other Private Fund | $5.6M | 98 | Mar 31, 2023 |
| R•••••••• L•••••••• F••• I• L• | Other Private Fund | $5.3M | 2 | Jan 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• G••••••• M•••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- O••••••• J•••••••• M••••••••• · Managing Membercontrolsince 05/2007 · owns 25% to 50% of R••••••• C•••••• G•• L••
- S•••••• G••••••• M•••• · Managing Membercontrolsince 05/2007 · owns 25% to 50% of R••••••• C•••••• G•• L••
Entity owners
- R••••••• C•••••• G•• L•• · Sole Member Of R•••••••• A•••• M••••••••• L••direct · owns 75% or more
Related persons
Schedule D 7.A
- R•••••••• L•••••••• F••• I• G•• L••pooled vehicle sponsorn
- R••• V•• L••pooled vehicle sponsorn
- R••• V••• L••pooled vehicle sponsorn
- R••• V•••• L••pooled vehicle sponsorn
Advisers that list R•••••••• A•••• M••••••••• L•• as a related person
- 132907 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 0 | 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
- RAUM down 50 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $126,036,754 to $0 (-100.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was -29.0% (41 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (41) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 0Mar 31, 2025 to Apr 1, 2026
- Pooled vehicle clients · 4.0 to unsetMar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $126M to $0Mar 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $126M to $0Mar 31, 2025 to Apr 1, 2026
- RAUM · $126M to $0Mar 31, 2025 to Apr 1, 2026
- Advisory employees · 7 to 5Nov 4, 2024 to Mar 31, 2025
- Assets in custody · $148M to $126MNov 4, 2024 to Mar 31, 2025
- Employees · 7 to 5Nov 4, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 4, 2024 to Mar 31, 2025
- State-registered IARs · 1 to 0Nov 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $148M to $126MNov 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $148M to $126MNov 4, 2024 to Mar 31, 2025
- RAUM · $148M to $126MNov 4, 2024 to Mar 31, 2025
- HQ city · AUSTIN to HOUSTONOct 15, 2024 to Nov 4, 2024
- Advisory employees · 8 to 7Jan 30, 2024 to Mar 12, 2024
- Assets in custody · $151M to $148MJan 30, 2024 to Mar 12, 2024
- Employees · 8 to 7Jan 30, 2024 to Mar 12, 2024
- Discretionary RAUM · $170M to $148MJan 30, 2024 to Mar 12, 2024
- Pooled vehicle RAUM · $170M to $148MJan 30, 2024 to Mar 12, 2024
- RAUM · $170M to $148MJan 30, 2024 to Mar 12, 2024
- Advisory employees · 9 to 8Jan 8, 2024 to Jan 30, 2024
- Employees · 13 to 8Jan 8, 2024 to Jan 30, 2024
- State-registered IARs · 2 to 1Jan 8, 2024 to Jan 30, 2024
- Other offices · 1 to 0May 23, 2023 to Jan 8, 2024
- Employees · 14 to 13May 2, 2023 to May 16, 2023
- Legal name · R•••••••• A•••• M•••••••• L•• to R•••••••• A•••• M••••••••• L••May 2, 2023 to May 16, 2023
- Business name · R•••••••• C•••••• M••••••••• L•• to R•••••••• A•••• M••••••••• L••Mar 31, 2023 to May 2, 2023
Signals
11 dated events
- R•••••••• A•••• M••••••••• L•• reported RAUM $0, down 100% from $126.0M (2025-03-31 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- E•••••••• Amy S•••••• (Chief Compliance Officer/General Counsel) no longer on Schedule A of R•••••••• A•••• M••••••••• L•• (listed 2024-05-16, absent 2024-07-26)Jul 26, 2024 · Control person left · inference
- Mollie Valerie Coffey (Chief Operating Officer) no longer on Schedule A of R•••••••• A•••• M••••••••• L•• (listed 2024-01-30, absent 2024-03-12)Mar 12, 2024 · Control person left · inference
- J•••• Anthony Annino (Manager/Ceo) no longer on Schedule A of R•••••••• A•••• M••••••••• L•• (listed 2024-01-08, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- D•••• M••••• (Chief Underwriting Officer) no longer on Schedule A of R•••••••• A•••• M••••••••• L•• (listed 2024-01-08, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- Lee M••••••• S•••• (Controller) no longer on Schedule A of R•••••••• A•••• M••••••••• L•• (listed 2024-01-08, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- A•••••• J•••• A••••• left R•••••••• A•••• M••••••••• L•• for S••••••• C•••••• L•• (registered 2024-10-29)Jan 5, 2024 · Advisor changed firm · fact
- D•••• M••••• (Chief Underwriting Officer) appeared on Schedule A of R•••••••• A•••• M••••••••• L••May 16, 2023 · Control person joined · fact
- Mollie Valerie Coffey (Chief Operating Officer) appeared on Schedule A of R•••••••• A•••• M••••••••• L••May 16, 2023 · Control person joined · fact
- M••••••• S•••• (Controller) appeared on Schedule A of R•••••••• A•••• M••••••••• L••May 16, 2023 · Control person joined · fact
- R•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- R••••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-375-1300reportedpublic record, Form ADV, Apr 1, 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
- No RAUM reportedderiveda 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