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

T••••••• C•••••• M••••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 153282SEC 801-71214IAPD
Latest filing Dec 1, 2014
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$41.1M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$41.1M gross assets
History
6 filings and snapshots on the tape
RAUM$41.1M as of Mar 31, 2014
Mar 29, 2012$58.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 1, 20130 then
Employees (5.A)0 as of Mar 31, 2014
Apr 1, 20130 then
Private funds1 as of Mar 31, 2014
Mar 29, 20121 then
RAUM +15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 1, 2014; 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
$41.1MderivedRAUM 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
+15%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 vehiclesreportedItem 5.G
Custody
$41.1M, 1 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
0reported
Wrap fee programs
noreported
Custody of client assets
$41.1M for 1 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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T••••••• O••••••••• M••••• F•••• L•••Hedge Fund$41.1M2Mar 29, 2012
Owners and control persons
Schedule A and B, latest filing
  • D••••••• J••••• D•••• · Limited Partnercontrol
    since 12/2009 · owns 75% or more
  • D••••••• J••••• D•••• · Directorcontrol
    since 12/2000 · owns 75% or more of H••••••• Capital Management Services, Inc.
  • O••••• M•••• K•••••• · Directorcontrol
    since 12/2000 · owns 25% to 50% of H••••••• Capital Management Services, Inc
  • S••••••• T•••••• J••••• · Chief Compliance Officer
    since 10/2011 · owns less than 5%
Entity owners
  • T••••••• C•••••• M••••••••• G•• L•• · General Partner
    direct · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · $35.7M to $41.1M
    Apr 18, 2013 to Mar 31, 2014
  • Discretionary RAUM · $35.7M to $41.1M
    Apr 18, 2013 to Mar 31, 2014
  • RAUM · $35.7M to $41.1M
    Apr 18, 2013 to Mar 31, 2014
  • Advisory employees · unset to 0.0
    May 14, 2012 to Apr 1, 2013
  • Assets in custody · $48.2M to $35.7M
    May 14, 2012 to Apr 1, 2013
  • Employees · unset to 0.0
    May 14, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 0.0
    May 14, 2012 to Apr 1, 2013
  • Discretionary RAUM · $48.2M to $35.7M
    May 14, 2012 to Apr 1, 2013
  • RAUM · $48.2M to $35.7M
    May 14, 2012 to Apr 1, 2013
  • Assets in custody · $58.9M to $48.2M
    Mar 29, 2012 to May 14, 2012
  • Discretionary RAUM · $58.9M to $48.2M
    Mar 29, 2012 to May 14, 2012
  • RAUM · $58.9M to $48.2M
    Mar 29, 2012 to May 14, 2012
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