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••••••••• P••••••••• I•• L••

Former SEC-registered adviserArlington, TexasCRD 152649SEC 801-71372IAPD
Latest filing Jun 3, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$463M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$463M as of Jun 3, 2015
Mar 30, 2012$820M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 3, 2015
Apr 11, 20133 then
Employees (5.A)3 as of Jun 3, 2015
Apr 11, 20134 then
Private funds: no history
RAUM -18% over the last fiscal year-17% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jun 3, 2015; every figure names its basis
RAUM per advisor
$231MderivedRAUM 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
$463MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
1reported
Financial planning clients
1-10reported
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
      • M••••• R••••••• · Managing Member - Ceocontrol
        since 11/2009 · owns 25% to 50%
      • E••••••• J••••• · Non-Managing Member
        since 11/2009 · owns 5% to 10%
      • K••••••• T•••••• P• · Cfo And Coo
        since 11/2009 · owns 5% to 10%
      • M••••• P••••• A••••• · Chief Compliance Officer
        since 11/2009 · owns less than 5%
      • S••••• E••••• · Cio And Sr. Managing Director
        since 11/2009 · owns 10% to 25%
      Entity owners
      • E••••• O• J••••• H• F••• · Non-Managing Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list U••••••••• P••••••••• I•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 31, 2014 to Jun 3, 2015
      • Employees · 4 to 3
        Mar 31, 2014 to Jun 3, 2015
      • Insurance-licensed employees · 3 to 1
        Mar 31, 2014 to Jun 3, 2015
      • HQ city · ADDISON to ARLINGTON
        Mar 31, 2014 to Jun 3, 2015
      • State-registered IARs · 3 to 2
        Mar 31, 2014 to Jun 3, 2015
      • Discretionary RAUM · $561M to $463M
        Mar 31, 2014 to Jun 3, 2015
      • RAUM · $561M to $463M
        Mar 31, 2014 to Jun 3, 2015
      • Discretionary RAUM · $826M to $561M
        Apr 11, 2013 to Mar 28, 2014
      • RAUM · $826M to $561M
        Apr 11, 2013 to Mar 28, 2014
      • Advisory employees · unset to 3.0
        Jun 19, 2012 to Apr 11, 2013
      • BD registered reps · unset to 0.0
        Jun 19, 2012 to Apr 11, 2013
      • Employees · unset to 4.0
        Jun 19, 2012 to Apr 11, 2013
      • State-registered IARs · unset to 3.0
        Jun 19, 2012 to Apr 11, 2013
      • Discretionary RAUM · $820M to $826M
        Jun 19, 2012 to Apr 11, 2013
      • RAUM · $820M to $826M
        Jun 19, 2012 to Apr 11, 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