DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

T••• T••• C•••••• M••••••••• L••

Former SEC-registered adviserFort Worth, TexasCRD 149474SEC 801-69936IAPD

Latest filing Jul 14, 2020

First filing on the tape Jan 23, 2012 · 15 filings

RAUM

$599M

reported, Item 5.F

Discretionary

80%

of RAUM

Private clients

100%

$599M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$599M as of Apr 2, 2020

Jan 23, 2012$159M then

HNW client RAUM$461M as of Apr 2, 2020

Feb 27, 2018$467M then

State-registered IARs (5.B.3)4 as of Apr 2, 2020

Jan 23, 20120 then

Employees (5.A)7 as of Apr 2, 2020

Feb 25, 20135 then

Private funds: no history

RAUM +16% over the last fiscal year+26% a year over threeIARs 4 to 4offices 2 to 1

Practice profile

derived from the filing of Jul 14, 2020; every figure names its basis

RAUM per advisor: $150MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 94derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.1MderivedHNW RAUM over HNW clients
Average account: $411,874derivedRAUM over accounts (5.F.2.f)
Discretionary: 80%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 2.0derived2 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: +4.4%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

is an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$461M77%
Individuals$138M23%

Individual clients: 285reported
HNW clients: 91reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,455reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
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

S•••••• J•••••• K••• to H•••••••• A•••••••• L••
Nov 13, 2020 · RIA to affiliated broker-dealer or bank
A••• K••• D••• to H•••••••• A•••••••• L••
Nov 13, 2020 · RIA to affiliated broker-dealer or bank

Joined, latest

S•••••• J•••••• K••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Apr 24, 2009 · Other
A••• K••• D••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Apr 24, 2009 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for H•••••••• A•••••••• L••
Nov 13, 2020 · Fort Worth, Tx

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••• A•••• K••• · Managing Member/Chief Operations Officercontrol
since 04/2009 · owns 50% to 75%
G••••••••• D•••••• J•••• · Chief Compliance Officercontrol
since 04/2014 · owns less than 5%
K•••• S••••••• J•••••• · Managing Member/Chief Executive Officercontrol
since 04/2014 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Northport, AL1 employees

What changed

consecutive filings, newest first

Accounts · 1,440 to 1,455
Feb 1, 2019 to Apr 2, 2020
HNW clients · 87 to 91
Feb 1, 2019 to Apr 2, 2020
Individual clients · 273 to 285
Feb 1, 2019 to Apr 2, 2020
Other offices · 2 to 1
Feb 1, 2019 to Apr 2, 2020
Discretionary RAUM · $377M to $481M
Feb 1, 2019 to Apr 2, 2020
HNW RAUM · $377M to $461M
Feb 1, 2019 to Apr 2, 2020
Individual RAUM · $140M to $138M
Feb 1, 2019 to Apr 2, 2020
Non-discretionary RAUM · $140M to $118M
Feb 1, 2019 to Apr 2, 2020
RAUM · $518M to $599M
Feb 1, 2019 to Apr 2, 2020
Accounts · 1,251 to 1,440
Feb 27, 2018 to Feb 1, 2019
HNW clients · 85 to 87
Feb 27, 2018 to Feb 1, 2019
Individual clients · 264 to 273
Feb 27, 2018 to Feb 1, 2019
Employees · 6 to 7
Feb 27, 2018 to Feb 1, 2019
Discretionary RAUM · $250M to $377M
Feb 27, 2018 to Feb 1, 2019
HNW RAUM · $467M to $377M
Feb 27, 2018 to Feb 1, 2019
Individual RAUM · $85.9M to $140M
Feb 27, 2018 to Feb 1, 2019
Non-discretionary RAUM · $304M to $140M
Feb 27, 2018 to Feb 1, 2019
RAUM · $553M to $518M
Feb 27, 2018 to Feb 1, 2019
Accounts · 987 to 1,251
Aug 8, 2017 to Feb 27, 2018
Advisory activities · 4 to 2
Aug 8, 2017 to Feb 27, 2018
HNW clients · unset to 85.0
Aug 8, 2017 to Feb 27, 2018
Individual clients · unset to 264.0
Aug 8, 2017 to Feb 27, 2018
Other offices · unset to 2.0
Aug 8, 2017 to Feb 27, 2018
Discretionary RAUM · $228M to $250M
Aug 8, 2017 to Feb 27, 2018
HNW RAUM · unset to 467176410.0
Aug 8, 2017 to Feb 27, 2018
Individual RAUM · unset to 85933287.0
Aug 8, 2017 to Feb 27, 2018
Non-discretionary RAUM · $72.8M to $304M
Aug 8, 2017 to Feb 27, 2018
RAUM · $301M to $553M
Aug 8, 2017 to Feb 27, 2018
Accounts · 977 to 987
Mar 3, 2016 to Feb 6, 2017
Discretionary RAUM · $78.8M to $228M
Mar 3, 2016 to Feb 6, 2017
Non-discretionary RAUM · $190M to $72.8M
Mar 3, 2016 to Feb 6, 2017
RAUM · $269M to $301M
Mar 3, 2016 to Feb 6, 2017
Accounts · 966 to 977
Mar 27, 2015 to Mar 3, 2016
Discretionary RAUM · $183M to $78.8M
Mar 27, 2015 to Mar 3, 2016
Non-discretionary RAUM · $76.9M to $190M
Mar 27, 2015 to Mar 3, 2016
RAUM · $260M to $269M
Mar 27, 2015 to Mar 3, 2016
Accounts · 997 to 966
Mar 6, 2014 to Mar 27, 2015
Discretionary RAUM · $162M to $183M
Mar 6, 2014 to Mar 27, 2015
Non-discretionary RAUM · $74.7M to $76.9M
Mar 6, 2014 to Mar 27, 2015
RAUM · $236M to $260M
Mar 6, 2014 to Mar 27, 2015

Signals

1 dated events

T••• T••• C•••••• M••••••••• L•• reported RAUM $553.1M, up 84% from $301.0M (2017-08-08 to 2018-02-27)
Feb 27, 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