DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••••••• C••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Aug 4, 2008
RAUM
$769M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$708M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$384M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$769M as of Apr 15, 2026
Mar 29, 2012$539M then
HNW client RAUM$697M as of Apr 15, 2026
Mar 29, 2018$428M then
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Mar 25, 20130 then
Employees (5.A)6 as of Apr 15, 2026
Mar 25, 20139 then
Private funds1 as of Mar 29, 2018
Mar 29, 20121 then
RAUM +28% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $384MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $45.7M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$697M91%
- Pension and profit-sharing plans$26.6M3.5%
- Charitable organizations$19.8M2.6%
- Corporations and businesses$14.1M1.8%
- Individuals$11.0M1.4%
- Individual clients
- 28reported
- HNW clients
- 69reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 245reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.7M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• A••••• M••••• | Houston, Tx | Aug 7, 2008 | 40 y | 1 |
| J••• H••••• M•••••Chartered Financial Analyst | Houston, Tx | Aug 18, 2008 | 34 y | 1 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- L•••• H••••• F••• to A• C•••••• A•••••••Jan 21, 2026 · RIA to a newly registered adviser
- A••••• T••••• A•••• to A• C•••••• A•••••••Jan 8, 2026 · RIA to a newly registered adviser
Joined, latest
- J••• H••••• M••••• from H•••••••• C•••••• M••••••••• I••Aug 18, 2008 · Other
- A••••• T••••• A•••• from M••••• S•••••• • C•• L••Aug 7, 2008 · Other
- K•••••• A••••• M••••• from M••••• S•••••• • C•• L••Aug 7, 2008 · Other
- L•••• H••••• F••• from M••••• S•••••• • C•• L••Aug 7, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A• C•••••• A•••••••Jan 8, 2026 · Houston, Tx
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.3M | 14 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••••• T••••• · Member/Board Of Managerscontrolsince 06/2008 · owns 10% to 25%
- M•••••• J•••• H••••• · Member/Board Of Managerscontrolsince 06/2008 · owns 25% to 50%
- M•••••• K••••••• A••••• · Member/Board Of Managerscontrolsince 06/2008 · owns 50% to 75%
- G••••••• D••••• L••• · Member/Chief Compliance Officersince 06/2008 · owns less than 5%
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 | 2 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 15, 2026discretionary share of RAUM moved from 82.0% to 100.0% between the annual amendments of 2025-03-25 and 2026-04-15peers: independent wealth managers, $500M to $1B (1,482)
- account count collapseChange between filings · filing Apr 15, 2026accounts (Item 5.F.2.f) moved from 383.0 to 245.0 (-36.0%) between the annual amendments of 2025-03-25 and 2026-04-15; the peer median change was +6.0% (1256 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 2.4% percentile
What changed
consecutive filings, newest first
- Accounts · 383 to 245Mar 25, 2025 to Mar 25, 2026
- Advisory employees · 3 to 2Mar 25, 2025 to Mar 25, 2026
- Advisory activities · 3 to 2Mar 25, 2025 to Mar 25, 2026
- HNW clients · 68 to 69Mar 25, 2025 to Mar 25, 2026
- Pension plan clients · unset to 5.0Mar 25, 2025 to Mar 25, 2026
- Assets in custody · $301M to $45.7MMar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $491M to $769MMar 25, 2025 to Mar 25, 2026
- HNW RAUM · $567M to $697MMar 25, 2025 to Mar 25, 2026
- Individual RAUM · $10.9M to $11.0MMar 25, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $107M to $0Mar 25, 2025 to Mar 25, 2026
- Pension RAUM · $1.9M to $26.6MMar 25, 2025 to Mar 25, 2026
- RAUM · $598M to $769MMar 25, 2025 to Mar 25, 2026
- Accounts · 377 to 383Jun 6, 2024 to Mar 25, 2025
- HNW clients · 69 to 68Jun 6, 2024 to Mar 25, 2025
- Individual clients · 23 to 28Jun 6, 2024 to Mar 25, 2025
- Assets in custody · $260M to $301MJun 6, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jun 6, 2024 to Mar 25, 2025
- Discretionary RAUM · $435M to $491MJun 6, 2024 to Mar 25, 2025
- HNW RAUM · $509M to $567MJun 6, 2024 to Mar 25, 2025
- Individual RAUM · $9.2M to $10.9MJun 6, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $101M to $107MJun 6, 2024 to Mar 25, 2025
- Pension RAUM · $1.6M to $1.9MJun 6, 2024 to Mar 25, 2025
- RAUM · $536M to $598MJun 6, 2024 to Mar 25, 2025
- Accounts · 357 to 377Apr 14, 2023 to Mar 18, 2024
- Assets in custody · $232M to $260MApr 14, 2023 to Mar 18, 2024
- Discretionary RAUM · $376M to $435MApr 14, 2023 to Mar 18, 2024
- HNW RAUM · $448M to $509MApr 14, 2023 to Mar 18, 2024
- Individual RAUM · $9.8M to $9.2MApr 14, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $92.1M to $101MApr 14, 2023 to Mar 18, 2024
- Pension RAUM · $1.4M to $1.6MApr 14, 2023 to Mar 18, 2024
- RAUM · $468M to $536MApr 14, 2023 to Mar 18, 2024
- Accounts · 347 to 357Mar 22, 2022 to Mar 23, 2023
- HNW clients · 65 to 69Mar 22, 2022 to Mar 23, 2023
- Individual clients · 25 to 23Mar 22, 2022 to Mar 23, 2023
- Assets in custody · $191M to $232MMar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $338M to $376MMar 22, 2022 to Mar 23, 2023
- HNW RAUM · $384M to $448MMar 22, 2022 to Mar 23, 2023
- Individual RAUM · $10.7M to $9.8MMar 22, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $68.5M to $92.1MMar 22, 2022 to Mar 23, 2023
- Pension RAUM · $1.4M to $1.4MMar 22, 2022 to Mar 23, 2023
Signals
8 dated events
- H•••••••• C••••••• L•• reported RAUM $768.9M, up 28% from $598.5M (2025-03-25 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- L•••• H••••• F••• left H•••••••• C••••••• L•• for A• C•••••• A••••••• (registered 2026-02-09)Jan 21, 2026 · Advisor changed firm · fact
- A••••• T••••• A•••• left H•••••••• C••••••• L•• for A• C•••••• A••••••• (registered 2026-01-23)Jan 8, 2026 · Advisor changed firm · fact
- 2 advisors left H•••••••• C••••••• L•• (Houston, TX) for A• C•••••• A••••••• within 13 daysJan 8, 2026 · Team lift-out · derived
- Canales Consuelo Valdes (Owner) no longer on Schedule A of H•••••••• C••••••• L•• (listed 2022-03-22, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Agustin Jose Valdes (Owner) no longer on Schedule A of H•••••••• C••••••• L•• (listed 2022-03-22, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- R James Crane (Owner) no longer on Schedule A of H•••••••• C••••••• L•• (listed 2022-03-22, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- H•••••••• C••••••• L•• reported RAUM $438.0M, down 25% from $587.6M (2018-03-29 to 2019-03-25)Mar 25, 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 email
- i•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-936-0440reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-936-0440reportedpublic record, Form ADV, Apr 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $384Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026