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
N••••••• A•••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jan 9, 2012 · 36 filings
SEC status approved since Mar 24, 2009
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2026
Mar 29, 2012$3.0B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 201317 then
Private funds: no history
RAUM +11% over the last fiscal year-4.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.8BderivedRAUM 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
- $553MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.8B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• D•••••• | Dallas, Tx | May 24, 2011 | 33 y | 7 |
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
- J•••• D•••• D•••••• from A••• C•••••• M••••••••• L•••May 24, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• D•••••• D•••• · Executive Vice Presidentcontrolsince 04/2019 · owns less than 5%
- W••••••••• F••••• G••••• · Treasurercontrolsince 06/2012 · owns less than 5%
- D••••••• J••••• D•••• · Shareholdercontrolsince 12/2000 · owns 75% or more of H••••••• C•••••• M••••••••• S•••••••• I•••
- D••••••• J••••• D•••• · Shareholdercontrolsince 12/2000 · owns 75% or more of S••••• A••••••• X••• I•••
- O••••• M•••• K•••••• · Trusteecontrolsince 10/2011 · owns F of O•••• F••••• R•••••••• T••••
- O••••• M•••• K•••••• · Shareholdercontrolsince 02/2009 · owns 25% to 50% of H••••••• C•••••• M••••••••• S•••••••• I•••
- O••••• P•••••• J•• · Trusteecontrolsince 10/2011 · owns F of O•••• F••••• R•••••••• T••••
- M••••• W••••••• M••••• · Assistant Treasurersince 04/2021 · owns less than 5%
- V•••••••• S••••••••• L••• · Chief Compliance Officer And Secretarysince 11/2021 · owns less than 5%
Entity owners
- H••••••• C•••••• M••••••••• S•••••••• I••• · Limited Partnerdirect · owns 75% or more
- S••••• A••••••• X••• I••• · General Partnerdirect · owns less than 5%
- O•••• F••••• R•••••••• T•••• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- F••••• E• • P• O••••••••• G•• L••investment adviserbankpooled vehicle sponsornRAUM $74.1M
- G••••••••• R•• L••real estaten
- N••••••••• L••broker-dealerinvestment adviserinvestment companynRAUM $26.1M
- N••••••••• A•••• M••••••••• L•••investment advisernRAUM $823M
- N••••••n
- N••••••• A•••••••• L•••investment adviserbanknRAUM $131M
- N••••••• I•••••••• S••••••••• L•••investment advisernRAUM $95.7M
- N••••••• R••• E••••• A••••••• I•• L•••investment advisern
- N••••••• R••• E••••• A••••••• I•• L•••investment advisern
- N••••••• R••• E••••• A••••••• V• L•••investment advisern
- N••••••• R••• E••••• A••••••• V•• L•••investment advisern
- N••••••• R••• E••••• A••••••• V••• L•••investment adviserpooled vehicle sponsornRAUM $1.9B
- N••••••• R••• E••••• A••••••• V•••• L•••investment advisern
- N••••••• R••• E••••• A••••••• X• L•••investment advisernRAUM $1.1B
- N••••••• R••• E••••• A••••••• X•• L•••investment advisern
- N••••••• R••• E••••• A••••••• X••• L•••investment advisern
- N••••••• R••• E••••• A•••••••• L•••investment advisernRAUM $976M
- N••••••• S••••••••• I•••broker-dealery
- N••••••••• T•••• S•••••••real estaten
Advisers that list N••••••• A•••• M••••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 6Mar 26, 2025 to Mar 31, 2026
- BD registered reps · 2 to 0Mar 26, 2025 to Mar 31, 2026
- Employees · 5 to 6Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $2.8BMar 26, 2025 to Mar 31, 2026
- RAUM · $2.5B to $2.8BMar 26, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Mar 28, 2024 to Mar 26, 2025
- Insurance-licensed employees · 3 to 2Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.2B to $2.5BMar 28, 2024 to Mar 26, 2025
- RAUM · $2.2B to $2.5BMar 28, 2024 to Mar 26, 2025
- Accounts · 6 to 5Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.2B to $2.2BMar 30, 2023 to Mar 28, 2024
- RAUM · $3.2B to $2.2BMar 30, 2023 to Mar 28, 2024
- Advisory employees · 7 to 5Sep 27, 2022 to Mar 30, 2023
- Business name · H••••••• C•••••• M••••••••• F••• A•••••••• L••• to N••••••• A•••• M••••••••• L•••Sep 27, 2022 to Mar 30, 2023
- Employees · 8 to 5Sep 27, 2022 to Mar 30, 2023
- Legal name · H••••••• C•••••• M••••••••• F••• A•••••••• L••• to N••••••• A•••• M••••••••• L•••Sep 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.3B to $3.2BSep 27, 2022 to Mar 30, 2023
- RAUM · $2.3B to $3.2BSep 27, 2022 to Mar 30, 2023
- Accounts · 8 to 6Jan 20, 2022 to Mar 31, 2022
- Advisory employees · 10 to 7Jan 20, 2022 to Mar 31, 2022
- Employees · 12 to 8Jan 20, 2022 to Mar 31, 2022
- Discretionary RAUM · $1.8B to $2.3BJan 20, 2022 to Mar 31, 2022
- RAUM · $1.8B to $2.3BJan 20, 2022 to Mar 31, 2022
- Accounts · 10 to 8Feb 23, 2021 to Mar 31, 2021
- Advisory employees · 13 to 10Feb 23, 2021 to Mar 31, 2021
- BD registered reps · 42 to 2Feb 23, 2021 to Mar 31, 2021
- Employees · 53 to 12Feb 23, 2021 to Mar 31, 2021
- Insurance-licensed employees · 0 to 3Feb 23, 2021 to Mar 31, 2021
- Discretionary RAUM · $1.8B to $1.8BFeb 23, 2021 to Mar 31, 2021
- RAUM · $1.8B to $1.8BFeb 23, 2021 to Mar 31, 2021
- Accounts · 12 to 10Mar 27, 2020 to Oct 23, 2020
- Advisory employees · 14 to 13Mar 27, 2020 to Oct 23, 2020
- BD registered reps · 36 to 42Mar 27, 2020 to Oct 23, 2020
- Employees · 48 to 53Mar 27, 2020 to Oct 23, 2020
- Discretionary RAUM · $2.9B to $1.8BMar 27, 2020 to Oct 23, 2020
- RAUM · $2.9B to $1.8BMar 27, 2020 to Oct 23, 2020
- Accounts · 13 to 12Mar 30, 2019 to Mar 27, 2020
- BD registered reps · 27 to 36Mar 30, 2019 to Mar 27, 2020
- Employees · 38 to 48Mar 30, 2019 to Mar 27, 2020
Signals
11 dated events
- N••••••• A•••• M••••••••• L••• reported RAUM $2.2B, down 30% from $3.2B (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- N••••••• A•••• M••••••••• L••• reported RAUM $3.2B, up 39% from $2.3B (2022-09-27 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- N••••••• A•••• M••••••••• L••• reported RAUM $2.3B, up 28% from $1.8B (2022-01-20 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Dale Brian Mitts (Assistant Treasurer) no longer on Schedule A of N••••••• A•••• M••••••••• L••• (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- E••••• D•••• W••••••• (Secretary) no longer on Schedule A of N••••••• A•••• M••••••••• L••• (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- E•••••••• L••••• T••••••• (Secretary) no longer on Schedule A of N••••••• A•••• M••••••••• L••• (listed 2020-10-23, absent 2021-02-23)Feb 23, 2021 · Control person left · inference
- Dale Brian Mitts (Assistant Treasurer) appeared on Schedule A of N••••••• A•••• M••••••••• L•••Feb 23, 2021 · Control person joined · fact
- E••••• D•••• W••••••• (Secretary) appeared on Schedule A of N••••••• A•••• M••••••••• L•••Feb 23, 2021 · Control person joined · fact
- N••••••• A•••• M••••••••• L••• reported RAUM $1.8B, down 37% from $2.9B (2020-03-27 to 2020-10-23)Oct 23, 2020 · RAUM change · derived
- Blackwell Lee Parker (Evp) no longer on Schedule A of N••••••• A•••• M••••••••• L••• (listed 2019-03-30, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- E•••••••• L••••• T••••••• (Secretary) appeared on Schedule A of N••••••• A•••• M••••••••• L•••Mar 27, 2020 · Control person joined · fact
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
- Website
- nexpointassetmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-276-6300reportedpublic 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
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026