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
T••• T••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 1, 2012 · 24 filings
SEC status approved since Mar 2, 2012
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$730M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 13, 2013$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 13, 20133 then
Employees (5.A)8 as of Mar 31, 2026
Mar 13, 20135 then
Private funds1 as of Mar 31, 2026
Mar 13, 20131 then
RAUM -80% over the last fiscal year-37% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $730MderivedRAUM 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
- $486MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -80%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $1.5B, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E••••• P•••••• | Dallas, Tx | May 5, 2009 | 17 y | 0 |
| J•• M•••••• G••••••••Chartered Financial Analyst | Dallas, Tx | Apr 12, 2011 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• T••• C•••••• M••••• F•••• L••• | Hedge Fund | $8.6B | 203 | Feb 1, 2012 |
| T••• T••• S••••••••• M••••• F•••• L••• | Hedge Fund | $10.0M | 1 | Sep 18, 2024 |
| T••• T••• S••••••••• S••••••••• L•••no longer reported | Hedge Fund | $9.6M | 4 | Feb 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• M••••••• E••••• · Managing Partnercontrolsince 01/2009 · owns 50% to 75%
- P••••••• M••••••• E••••• · Membercontrolsince 01/2009 · owns 75% or more of T••• T••• C•••••• M••••••••• L••
- C•••••• J•• · Chief Compliance Officer And Chief Financial Officersince 10/2010 · owns less than 5%
- G••••••••• J••• M•••••• · Limited Partnersince 10/2009 · owns 5% to 10%
- S•••••• J•••• S••••• · Limited Partnersince 01/2009 · owns 10% to 25%
- W••••••••• J•••• S• · Limited Partnersince 07/2009 · owns 10% to 25%
Entity owners
- T••• T••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- T••• T••• O••••••• M••••••••• I•••bankpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 14.0 to 8.0 (-43.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 1.3% percentile
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $7,393,800,899 to $1,459,446,923 (-80.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 0.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 0.2% percentile
Data quality: the 2026-03-31 holdings report shows $4,748,865,877 across 1240 positions while Form ADV reports RAUM of $1,459,446,923 (3.3x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Accounts · 6 to 3Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 10 to 5Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 3Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $7.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Employees · 14 to 8Mar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- RAUM · $7.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 3 to 6Sep 18, 2024 to Mar 31, 2025
- Advisory employees · 8 to 10Sep 18, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 6Sep 18, 2024 to Mar 31, 2025
- Assets in custody · $8.6B to $7.4BSep 18, 2024 to Mar 31, 2025
- Employees · 11 to 14Sep 18, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.6B to $7.4BSep 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $8.6B to $7.4BSep 18, 2024 to Mar 31, 2025
- RAUM · $8.6B to $7.4BSep 18, 2024 to Mar 31, 2025
- Private funds · 1 to 2Mar 29, 2024 to Sep 18, 2024
- Advisory employees · 6 to 8Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $5.8B to $8.6BMar 30, 2023 to Mar 29, 2024
- Employees · 8 to 11Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.8B to $8.6BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.8B to $8.6BMar 30, 2023 to Mar 29, 2024
- RAUM · $5.8B to $8.6BMar 30, 2023 to Mar 29, 2024
- Assets in custody · $6.2B to $5.8BMar 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $6.2B to $5.8BMar 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $6.2B to $5.8BMar 22, 2022 to Mar 30, 2023
- RAUM · $6.2B to $5.8BMar 22, 2022 to Mar 30, 2023
- Accounts · 4 to 3Mar 23, 2021 to Mar 22, 2022
- Pooled vehicle clients · 4 to 3Mar 23, 2021 to Mar 22, 2022
- Assets in custody · $3.8B to $6.2BMar 23, 2021 to Mar 22, 2022
- Employees · 7 to 8Mar 23, 2021 to Mar 22, 2022
- Private funds · 2 to 1Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $3.8B to $6.2BMar 23, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $3.8B to $6.2BMar 23, 2021 to Mar 22, 2022
- RAUM · $3.8B to $6.2BMar 23, 2021 to Mar 22, 2022
- Assets in custody · $3.2B to $3.8BMar 6, 2020 to Mar 23, 2021
- Discretionary RAUM · $3.2B to $3.8BMar 6, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $3.2B to $3.8BMar 6, 2020 to Mar 23, 2021
Signals
5 dated events
- T••• T••• M••••••••• L• reported RAUM $1.5B, down 80% from $7.4B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- T••• T••• M••••••••• L• reported RAUM $8.6B, up 50% from $5.8B (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- T••• T••• M••••••••• L• reported RAUM $6.2B, up 61% from $3.8B (2021-03-23 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- T••• T••• M••••••••• L• reported RAUM $3.2B, up 32% from $2.4B (2019-03-21 to 2020-03-06)Mar 6, 2020 · RAUM change · derived
- T••• T••• M••••••••• L• reported RAUM $2.4B, up 43% from $1.7B (2018-03-26 to 2019-02-28)Feb 28, 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
- Principal office phone
- 214-979-2313reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $730Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026