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

Y••• C•••••• M••••••••• L•

Former SEC-registered adviserHouston, TexasCRD 153082SEC 801-78045website IAPD

Latest filing Mar 28, 2026

First filing on the tape Mar 27, 2012 · 36 filings

SEC status approved since May 21, 2013

RAUM

$189M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

36 filings and snapshots on the tape

RAUM$189M as of Mar 28, 2026

Mar 27, 2012$73.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 28, 2026

Mar 27, 20120 then

Employees (5.A)7 as of Mar 28, 2026

Mar 29, 20145 then

Private funds2 as of Mar 28, 2026

Mar 27, 20121 then

RAUM -12% over the last fiscal year-7.1% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 28, 2026; every figure names its basis

RAUM per advisor: $189MderivedRAUM 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: $94.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 7.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -12%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 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)
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

Pooled investment vehicles$189M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Y••• P•••••••• L•••	Hedge Fund	$171M	35	Mar 27, 2012
Y••• F•••••• L••• F•••• L•••	Hedge Fund	$43.3M	6	Jan 29, 2016
Y••• S•• I• L•••	Private Equity Fund	$11.1M	6	Jan 24, 2024

Owners and control persons

Schedule A and B, latest filing

K••••••• J••••• K••• · Chief Compliance Officer And Chief Financial Officercontrol
since 04/2010 · owns less than 5%
Y•••• C•••••• L•• R••••••• · Principal And Limited Partnercontrol
since 02/2010 · owns 75% or more
Y•••• C•••••• L•• R••••••• · Managing Membercontrol
since 02/2010 · owns 75% or more of T••••• A•••••••• L•••••

Entity owners

T••••• A•••••••• L••••• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

T••••• M••••••••• L•••
investment adviserbankpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

Fort Worth, TX2 employees

What changed

consecutive filings, newest first

Discretionary RAUM · $215M to $189M
Mar 28, 2025 to Mar 28, 2026
Pooled vehicle RAUM · $215M to $189M
Mar 28, 2025 to Mar 28, 2026
RAUM · $215M to $189M
Mar 28, 2025 to Mar 28, 2026
Accounts · 3 to 2
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle clients · 3 to 2
Mar 28, 2024 to Mar 28, 2025
Employees · 5 to 7
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 28, 2025
Private funds · 3 to 2
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $226M to $215M
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $226M to $215M
Mar 28, 2024 to Mar 28, 2025
RAUM · $226M to $215M
Mar 28, 2024 to Mar 28, 2025
Accounts · 4 to 3
Jan 24, 2024 to Mar 28, 2024
Advisory employees · 5 to 4
Jan 24, 2024 to Mar 28, 2024
Pooled vehicle clients · 4 to 3
Jan 24, 2024 to Mar 28, 2024
Employees · 6 to 5
Jan 24, 2024 to Mar 28, 2024
HQ city · FORT WORTH to HOUSTON
Jan 24, 2024 to Mar 28, 2024
Discretionary RAUM · $236M to $226M
Jan 24, 2024 to Mar 28, 2024
Pooled vehicle RAUM · $236M to $226M
Jan 24, 2024 to Mar 28, 2024
RAUM · $236M to $226M
Jan 24, 2024 to Mar 28, 2024
Private funds · 2 to 3
Mar 31, 2023 to Jan 24, 2024
Discretionary RAUM · $318M to $236M
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $318M to $236M
Mar 31, 2022 to Mar 31, 2023
RAUM · $318M to $236M
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $272M to $318M
Jul 8, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $272M to $318M
Jul 8, 2021 to Mar 31, 2022
RAUM · $272M to $318M
Jul 8, 2021 to Mar 31, 2022
Accounts · 5 to 4
May 12, 2020 to Mar 31, 2021
Advisory activities · 2 to 1
May 12, 2020 to Mar 31, 2021
Other offices · 0 to 1
May 12, 2020 to Mar 31, 2021
Discretionary RAUM · $360M to $272M
May 12, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $289M to $272M
May 12, 2020 to Mar 31, 2021
RAUM · $360M to $272M
May 12, 2020 to Mar 31, 2021
Discretionary RAUM · $522M to $360M
Apr 30, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $467M to $289M
Apr 30, 2019 to Mar 30, 2020
RAUM · $522M to $360M
Apr 30, 2019 to Mar 30, 2020
Advisory employees · 6 to 5
Sep 21, 2018 to Mar 29, 2019
Business name · Y••• C•••••• M••••••••• L••••• to Y••• C•••••• M••••••••• L•
Sep 21, 2018 to Mar 29, 2019
Employees · 7 to 6
Sep 21, 2018 to Mar 29, 2019
Legal name · Y••• C•••••• M••••••••• L••••• to Y••• C•••••• M••••••••• L•
Sep 21, 2018 to Mar 29, 2019
Discretionary RAUM · $610M to $522M
Sep 21, 2018 to Mar 29, 2019

Signals

4 dated events

Y••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $189.3M)
Jun 1, 2026 · Left the SEC roster · derived
Y••• C•••••• M••••••••• L• reported RAUM $359.7M, down 31% from $522.4M (2019-04-30 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
Y••• C•••••• M••••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Sep 21, 2018 · Succession (Item 4) · fact
Y••• C•••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)
May 3, 2013 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

Y••• C•••••• M••••••••• L• · Private Equity
shared crd · organization

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