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
U••• R•• L••
Latest filing May 25, 2021
First filing on the tape Mar 5, 2012 · 52 filings
RAUM
$4.1B
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
85%
$3.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
72
51 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$4.1B as of Mar 31, 2021
Mar 5, 2012$645M then
HNW client RAUM$3.0B as of Mar 31, 2021
Mar 28, 2018$968M then
State-registered IARs (5.B.3)72 as of Mar 31, 2021
Mar 5, 20120 then
Employees (5.A)72 as of Mar 31, 2021
Apr 1, 201355 then
Private funds: no history
RAUM +49% over the last fiscal year+17% a year over threeIARs 76 to 72
Practice profile
derived from the filing of May 25, 2021; every figure names its basis
- RAUM per advisor
- $57.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $591,211derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 18.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $4.1BreportedItem 5.I
- Custody
- $655M, 526 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- 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
- High-net-worth individuals$3.0B72%
- Individuals$525M13%
- Corporations and businesses$511M12%
- Pension and profit-sharing plans$58.1M1.4%
- Charitable organizations$44.5M1.1%
- State and municipal entities$13.2M0.3%
- Individual clients
- 1,462reported
- HNW clients
- 969reported
- Pension plan clients
- 55reported
- Charitable clients
- 14reported
- Accounts
- 6,967reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $454M sponsored, $0 managedreported
- Custody of client assets
- $655M for 526 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- K•••• A••••• R•••••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- P•••••• M•••••• M••••••••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- D•••• M•••••• K••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- R•••••• S•••• J•••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- D•••• K•••• R•••••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- D•••• M•••••• H••••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- S•••• H••••• G••• to U••• A•••• M••••••••• L••Jun 30, 2021 · Other
- M•••••• D••••••••• to M••••• A•••••••• L••Apr 20, 2021 · Affiliated broker-dealer or bank to another
- E•••• E••••••••• F•••••• to B• R•••• W••••• A•••••••• I•••Dec 10, 2020 · Affiliated broker-dealer or bank to another
- A••••• F•••••• to F••••• M••••• W••••• A•••••••• L••Jul 24, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• E••••• A•••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 24, 2020 · Other
- M•••• S•••• to B• R•••• W••••• M•••••••••May 2, 2019 · Affiliated broker-dealer or bank to another
- J•••• P•••••• D•••• to U•• F•••••••• S••••••• I•••Dec 18, 2018 · Affiliated broker-dealer or bank to wirehouse
- S••••• W• H••••• to B••• S••••••••• L••Aug 4, 2017 · Other
- J••••• C• K•••• to C••••••• S•••••••••May 4, 2017 · Other
Joined, latest
- B•••• D••••• M•••• from W•••• F•••• A•••••••Feb 10, 2020 · Wirehouse to affiliated broker-dealer or bank
- E•••• E••••••••• F•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 1, 2019 · Wirehouse to affiliated broker-dealer or bank
- K••••••• R••••• from R•• C•••••• M••••••• L••May 14, 2019 · Affiliated broker-dealer or bank to another
- Y••• S• R•••• from R•• C•••••• M••••••• L••Apr 24, 2019 · Affiliated broker-dealer or bank to another
- B•••••• R••••• M••••• from M••••• S••••••Jan 28, 2019 · Wirehouse to affiliated broker-dealer or bank
- A••••• F•••••• from A••••• I••••••••• • A•••••••Oct 15, 2018 · Other
- G•••• A•• T•••• from R•• C•••••• M••••••• L••Nov 10, 2017 · Other
- B•••••• S•••••• S•••••• from W•••• F•••• A•••••••Apr 5, 2017 · Other
- C•••••• T•••• D•• from W•••• F•••• A•••••••Mar 4, 2016 · Other
- C•••••• A•••• F••••• from W•••• F•••• A•••••••Mar 4, 2016 · Other
- D••••• L•••• C•••••• from W•••• F•••• A•••••••Mar 4, 2016 · Other
- M•••• N••••• P•••• from W•••• F•••• A•••••••Mar 4, 2016 · Other
- R•••• C•••••• A••••• from W•••• F•••• A•••••••Feb 12, 2016 · Other
- K•••• H•••••• S•••••• from W•••• F•••• A•••••••Feb 12, 2016 · Other
- C••••••• S• W••••• from W•••• F•••• A•••••••Feb 12, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for U••• A•••• M••••••••• L••Jun 30, 2021 · Houston, Tx
- 4 joined from W•••• F•••• A•••••••Mar 8, 2016 · Dallas, Tx
- 4 joined from W•••• F•••• A•••••••Feb 16, 2016 · Dallas, Tx
- 4 joined from U•• F•••••••• S••••••• I•••Jul 6, 2015 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••••• R••••• · Chief Financial Officercontrolsince 12/2017 · owns less than 5%
- G•••• S••••• H••••• · Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- K•••• D••••• M•••••• · Managing Partnercontrolsince 01/2011 · owns less than 5%
- M••••••••• P••••••• M•••••• · Managing Partnercontrolsince 07/2010 · owns less than 5%
Entity owners
- U••• C•••••• A••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- U••• A•••• M••••••••• L••investment advisernRAUM $132M
- U••• B••••• M•••••••• M••••••••• L••pooled vehicle sponsorn
- U••• B•••• G• L••pooled vehicle sponsorn
- U••• C• F••• I• G• L••pooled vehicle sponsorn
- U••• F•••• C••••• P••••••• F••• G• L••pooled vehicle sponsorn
- U••• I•••••••• A••••• L••real estaten
- U••• I••••••••• H••••••• L••pooled vehicle sponsorn
- U••• L••• C••••••••• G• L••pooled vehicle sponsorn
- U••• L••• C••••••••• I• G• L••pooled vehicle sponsorn
- U••• M•••••••• A••••••• L••n
- U••• R••• E••••• V••••••• G• I• L••pooled vehicle sponsorn
- U••• R••••••• M••••••• C••••••••• I• G•pooled vehicle sponsorn
- U••• S••••••••• L••broker-dealern
- U••• S••••• G• L••pooled vehicle sponsorn
- U••• T•••••••• M•••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- A•••••, TX9 employees
- Dallas, TX8 employees
- Houston, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 5,988 to 6,967Sep 16, 2020 to Mar 31, 2021
- Advisory employees · 55 to 51Sep 16, 2020 to Mar 31, 2021
- BD registered reps · 76 to 72Sep 16, 2020 to Mar 31, 2021
- Charity clients · 12 to 14Sep 16, 2020 to Mar 31, 2021
- Corporate clients · 126 to 150Sep 16, 2020 to Mar 31, 2021
- HNW clients · 658 to 969Sep 16, 2020 to Mar 31, 2021
- Individual clients · 1,527 to 1,462Sep 16, 2020 to Mar 31, 2021
- Pension plan clients · 50 to 55Sep 16, 2020 to Mar 31, 2021
- Assets in custody · $313M to $655MSep 16, 2020 to Mar 31, 2021
- Employees · 76 to 72Sep 16, 2020 to Mar 31, 2021
- Insurance-licensed employees · 8 to 7Sep 16, 2020 to Mar 31, 2021
- State-registered IARs · 76 to 72Sep 16, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.7B to $2.6BSep 16, 2020 to Mar 31, 2021
- HNW RAUM · $1.7B to $3.0BSep 16, 2020 to Mar 31, 2021
- Individual RAUM · $560M to $525MSep 16, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.0B to $1.6BSep 16, 2020 to Mar 31, 2021
- Pension RAUM · $41.3M to $58.1MSep 16, 2020 to Mar 31, 2021
- RAUM · $2.8B to $4.1BSep 16, 2020 to Mar 31, 2021
- Wrap assets (sponsor) · $324M to $454MSep 16, 2020 to Mar 31, 2021
- Accounts · 5,594 to 5,988Oct 9, 2019 to Mar 31, 2020
- Advisory employees · 51 to 55Oct 9, 2019 to Mar 31, 2020
- BD registered reps · 73 to 76Oct 9, 2019 to Mar 31, 2020
- Charity clients · 25 to 12Oct 9, 2019 to Mar 31, 2020
- Corporate clients · 223 to 126Oct 9, 2019 to Mar 31, 2020
- HNW clients · 1,426 to 658Oct 9, 2019 to Mar 31, 2020
- Individual clients · 3,860 to 1,527Oct 9, 2019 to Mar 31, 2020
- Pension plan clients · 51 to 50Oct 9, 2019 to Mar 31, 2020
- Assets in custody · $586M to $313MOct 9, 2019 to Mar 31, 2020
- Employees · 73 to 76Oct 9, 2019 to Mar 31, 2020
- Insurance-licensed employees · 11 to 8Oct 9, 2019 to Mar 31, 2020
- State-registered IARs · 73 to 76Oct 9, 2019 to Mar 31, 2020
- Discretionary RAUM · $1.7B to $1.7BOct 9, 2019 to Mar 31, 2020
- HNW RAUM · $1.7B to $1.7BOct 9, 2019 to Mar 31, 2020
- Individual RAUM · $751M to $560MOct 9, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $1.2B to $1.0BOct 9, 2019 to Mar 31, 2020
- Pension RAUM · $31.2M to $41.3MOct 9, 2019 to Mar 31, 2020
- RAUM · $3.0B to $2.8BOct 9, 2019 to Mar 31, 2020
- Wrap assets (sponsor) · $1.4B to $324MOct 9, 2019 to Mar 31, 2020
- Assets in custody · unset to 586191013.0Sep 10, 2019 to Sep 13, 2019
- Custody of client assets · false to trueSep 10, 2019 to Sep 13, 2019
Signals
5 dated events
- Howell Steve Gott (Chief Compliance Officer) appeared on Schedule A of U••• R•• L••May 25, 2021 · Control person joined · fact
- Courtney Elizabeth Bowling (Chief Compliance Officer) no longer on Schedule A of U••• R•• L•• (listed 2021-03-31, absent 2021-05-25)May 25, 2021 · Control person left · inference
- U••• R•• L•• reported RAUM $4.1B, up 49% from $2.8B (2020-09-16 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Howell Steve Gott (Chief Compliance Officer) no longer on Schedule A of U••• R•• L•• (listed 2019-04-10, absent 2019-06-13)Jun 13, 2019 · Control person left · inference
- Courtney Elizabeth Bowling (Chief Compliance Officer) appeared on Schedule A of U••• R•• L••Jun 13, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- U••• R•• L•• · Private Equityshared crd · intermediary
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