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

P••••••••• C•••••• M••••••••• L•

Former SEC-registered adviserDallas, TexasCRD 150955SEC 801-70426IAPD
Latest filing Nov 3, 2017
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$90.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$90.8M as of Mar 21, 2017
Mar 27, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 21, 2017
Mar 27, 20120 then
Employees (5.A)3 as of Mar 21, 2017
Mar 27, 20133 then
Private funds: no history
RAUM -3.7% over the last fiscal year-5.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 3, 2017; every figure names its basis
RAUM per advisor
$90.8MderivedRAUM 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
$13.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.7%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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • H•••••• G•••• L•• · President, Ceo, Ciocontrol
        since 05/2009 · owns less than 5%
      • P••••••• S•••••• M••• · Chief Compliance Officercontrol
        since 05/2009 · owns less than 5%
      • H•••••• G•••• L•• · Membercontrol
        since 05/2009 · owns 75% or more of P•• G•• L••
      • M•••• J•••• R••••••• · Membercontrol
        since 05/2009 · owns 75% or more of J•• P•• L••
      Entity owners
      • P•• G•• L•• · General Partner, Limited Partner
        direct · owns 75% or more
      • J•• P•• L•• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 9134976.0 to unset
        Mar 21, 2017 to Nov 3, 2017
      • Custody of client assets · true to false
        Mar 21, 2017 to Nov 3, 2017
      • Other offices · unset to 0.0
        Mar 21, 2017 to Nov 3, 2017
      • Advisory activities · 3 to 2
        Mar 23, 2016 to Mar 21, 2017
      • Assets in custody · unset to 9134976.0
        Mar 23, 2016 to Mar 21, 2017
      • Custody of client assets · false to true
        Mar 23, 2016 to Mar 21, 2017
      • Discretionary RAUM · $94.3M to $90.8M
        Mar 23, 2016 to Mar 21, 2017
      • RAUM · $94.3M to $90.8M
        Mar 23, 2016 to Mar 21, 2017
      • Accounts · 8 to 7
        Mar 26, 2015 to Mar 23, 2016
      • Discretionary RAUM · $103M to $94.3M
        Mar 26, 2015 to Mar 23, 2016
      • RAUM · $103M to $94.3M
        Mar 26, 2015 to Mar 23, 2016
      • Accounts · 9 to 8
        Mar 29, 2014 to Mar 26, 2015
      • Discretionary RAUM · $108M to $103M
        Mar 29, 2014 to Mar 26, 2015
      • RAUM · $108M to $103M
        Mar 29, 2014 to Mar 26, 2015
      • Discretionary RAUM · $110M to $108M
        Aug 20, 2013 to Mar 29, 2014
      • RAUM · $110M to $108M
        Aug 20, 2013 to Mar 29, 2014
      • Accounts · 8 to 9
        Mar 27, 2012 to Mar 27, 2013
      • Advisory employees · unset to 1.0
        Mar 27, 2012 to Mar 27, 2013
      • Employees · unset to 3.0
        Mar 27, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 1
        Mar 27, 2012 to Mar 27, 2013
      • Discretionary RAUM · $102M to $110M
        Mar 27, 2012 to Mar 27, 2013
      • RAUM · $102M to $110M
        Mar 27, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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