DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• T•••••• A•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 152000SEC 801-70844IAPD
Latest filing Mar 25, 2013
First filing on the tape Mar 29, 2012 · 3 filings
RAUM
$147M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.6M gross assets
History
3 filings and snapshots on the tape
RAUM$147M as of Mar 25, 2013
Mar 29, 2012$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds2 as of Mar 25, 2013
Mar 29, 20121 then
RAUM -1.4% over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2013; 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
unknownderivedHNW RAUM over HNW clients
Average account
$49.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.4%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 pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• T•••••• O••••••••• M••••• F•••• L•••Hedge Fund$25.5M14Mar 29, 2012
      C•••••• T•••••• O••••••••• F•••• L•Hedge Fund$7.1M13Mar 25, 2013
      C•••••• T•••••• O•••••••• F•••• L•Hedge Fund$449,0001Mar 25, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• J•••• A•••••••• · Managing Directorcontrol
        since 10/2009 · owns less than 5%
      • P•••• W•••••• C••••••• D•••• · Senior Managing Directorcontrol
        since 10/2009 · owns 75% or more
      • R•••••••• B•••••• C•••• · Chief Operations Officercontrol
        since 10/2009 · owns less than 5%
      • R••••• J•••• S••••••• · General Counsel And Chief Compliance Officercontrol
        since 05/2011 · owns less than 5%
      • M••••••••• M••••••• C••••••••• · Membercontrol
        since 01/1999 · owns 75% or more of C••••• Investments, L.L.C.
      Entity owners
      • C••••• P•••••••• L••• · General Partner
        indirect · owns F of C••••• P•••••••• L•••
      • C••••• P•••••••• L••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••••• T•••••• G•• L••
        pooled vehicle sponsorn
      • C•••••• T•••••• O•••••••• G•• L••
        pooled vehicle sponsorn
      • C•••••• T•••••• O••••••••• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Oct 22, 2012 to Mar 25, 2013
      • Advisory employees · unset to 3.0
        Oct 22, 2012 to Mar 25, 2013
      • Employees · unset to 4.0
        Oct 22, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Oct 22, 2012 to Mar 25, 2013
      • Private funds · 1 to 2
        Oct 22, 2012 to Mar 25, 2013
      • Discretionary RAUM · $149M to $147M
        Oct 22, 2012 to Mar 25, 2013
      • RAUM · $149M to $147M
        Oct 22, 2012 to Mar 25, 2013
      • Related adviser · true to false
        Oct 22, 2012 to Mar 25, 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