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

E••••• O••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserMandeville, LouisianaCRD 148186SEC 801-69563IAPD
Latest filing Mar 28, 2023
First filing on the tape Mar 13, 2012 · 22 filings
RAUM
$37.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$6.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$37.0M as of Mar 28, 2023
Mar 13, 2012$507M then
HNW client RAUM$2.1M as of Mar 28, 2023
Mar 29, 2018$1.4M then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Apr 1, 20130 then
Employees (5.A)3 as of Mar 28, 2023
Apr 1, 20135 then
Private funds: no history
RAUM +0.7% over the last fiscal year-2.6% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 28, 2023; 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
$713,266derivedHNW RAUM over HNW clients
Average account
$3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
73%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
+0.7%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-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$26.9M73%
  • Corporations and businesses$4.1M11%
  • Individuals$3.8M10%
  • High-net-worth individuals$2.1M5.8%
Individual clients
3reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• E••••• C•••• · Board Membercontrol
        since 08/2017 · owns less than 5%
      • C••••• J•••• M• · President/ Direct Owner/ Board Membercontrol
        since 02/2016 · owns 5% to 10%
      • C••••• J••• T•• E••••• O• L••••• F•••••• · Direct Ownercontrol
        since 05/2022 · owns 10% to 25%
      • F••••••• T•• E••••• O• M••••••• E•••• · Direct Ownercontrol
        since 02/2016 · owns 5% to 10%
      • G•••• S••••• B••••• · Direct Owner/ Board Membercontrol
        since 07/2008 · owns 10% to 25%
      • L••• S•••••• L••• · Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • W•••• W••••••• H••••• · Board Membercontrol
        since 07/2008 · owns less than 5%
      • A••••• R•••••• J••• · Vice President & Directorcontrol
        since 11/1991 · owns 25% to 50% of O•••••• Capital Management
      Entity owners
      • O•••••• C•••••• M••••••••• C••• · Direct Owner
        direct · owns 50% to 75%
      • J••••• F• C•••• · Direct Owner, Common
        indirect · owns 25% to 50% of O•••••• C•••••• M••••••••• C•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 10
        Jun 9, 2022 to Mar 28, 2023
      • Corporate clients · unset to 4.0
        Jun 9, 2022 to Mar 28, 2023
      • HNW clients · unset to 3.0
        Jun 9, 2022 to Mar 28, 2023
      • Individual clients · unset to 3.0
        Jun 9, 2022 to Mar 28, 2023
      • HQ city · AUSTIN to MANDEVILLE
        Jun 9, 2022 to Mar 28, 2023
      • HQ state · TX to LA
        Jun 9, 2022 to Mar 28, 2023
      • Other offices · 0 to 1
        Jun 9, 2022 to Mar 28, 2023
      • Discretionary RAUM · $36.7M to $37.0M
        Jun 9, 2022 to Mar 28, 2023
      • HNW RAUM · $2.5M to $2.1M
        Jun 9, 2022 to Mar 28, 2023
      • Individual RAUM · $3.1M to $3.8M
        Jun 9, 2022 to Mar 28, 2023
      • RAUM · $36.7M to $37.0M
        Jun 9, 2022 to Mar 28, 2023
      • Advisory employees · 2 to 1
        Mar 31, 2022 to Jun 9, 2022
      • Employees · 4 to 3
        Mar 31, 2022 to Jun 9, 2022
      • Discretionary RAUM · $40.1M to $36.7M
        Mar 31, 2021 to Mar 31, 2022
      • HNW RAUM · $1.8M to $2.5M
        Mar 31, 2021 to Mar 31, 2022
      • Individual RAUM · $2.8M to $3.1M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $40.1M to $36.7M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 13 to 14
        Jun 30, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 2
        Jun 30, 2020 to Mar 31, 2021
      • Employees · 5 to 4
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $40.0M to $40.1M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $935,097 to $1.8M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $2.7M to $2.8M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $40.0M to $40.1M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 21 to 13
        Oct 17, 2019 to Mar 30, 2020
      • HNW clients · 5.0 to unset
        Oct 17, 2019 to Mar 30, 2020
      • Individual clients · 5.0 to unset
        Oct 17, 2019 to Mar 30, 2020
      • Employees · 6 to 5
        Oct 17, 2019 to Mar 30, 2020
      • Discretionary RAUM · $60.7M to $40.0M
        Oct 17, 2019 to Mar 30, 2020
      • HNW RAUM · $1.3M to $935,097
        Oct 17, 2019 to Mar 30, 2020
      • Individual RAUM · $2.9M to $2.7M
        Oct 17, 2019 to Mar 30, 2020
      • RAUM · $60.7M to $40.0M
        Oct 17, 2019 to Mar 30, 2020
      • Accounts · 23 to 21
        Apr 24, 2018 to Mar 29, 2019
      • Corporate clients · 6.0 to unset
        Apr 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $147M to $60.7M
        Apr 24, 2018 to Mar 29, 2019
      • HNW RAUM · $1.4M to $1.3M
        Apr 24, 2018 to Mar 29, 2019
      • Individual RAUM · $4.9M to $2.9M
        Apr 24, 2018 to Mar 29, 2019
      • RAUM · $147M to $60.7M
        Apr 24, 2018 to Mar 29, 2019
      • Accounts · 31 to 23
        Sep 26, 2017 to Mar 29, 2018
      • Corporate clients · unset to 6.0
        Sep 26, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • E••••• O••••••••• C•••••• M••••••••• L•• reported RAUM $147.3M, down 62% from $383.4M (2017-09-26 to 2018-03-29)
        Mar 29, 2018 · 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.
      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