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

V••• A•••• M••••••••• I•••

Former SEC-registered adviserHouston, TexasCRD 154312SEC 801-71670IAPD
Latest filing Jun 12, 2012
First filing on the tape Dec 12, 2011 · 6 filings
RAUM
$37.5M
reported, Item 5.F
Discretionary
87%
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
n/a
n/a 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$37.5M as of Jun 12, 2012
Dec 12, 2011$45.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 12, 2012
Dec 12, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2012; 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
$200,535derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
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
187reported
Financial planning clients
0reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••••• M•••• P••• · President, Chief I•••••Ment Officer & Chief Compliance Officercontrol
    since 06/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Clarks Summit, Pa000
Collierville, Tn000
Offices
Schedule D 1.F, the 25 largest
  • Baton Rouge, LA
  • Collierville, TN
What changed
consecutive filings, newest first
  • Accounts · 197 to 187
    Mar 30, 2012 to May 31, 2012
  • Advisory activities · 5 to 4
    Mar 30, 2012 to May 31, 2012
  • Discretionary RAUM · $32.3M to $32.5M
    Mar 30, 2012 to May 31, 2012
  • RAUM · $37.3M to $37.5M
    Mar 30, 2012 to May 31, 2012
  • Related adviser · false to true
    Mar 30, 2012 to May 31, 2012
  • Accounts · 193 to 197
    Mar 19, 2012 to Mar 30, 2012
  • Discretionary RAUM · $36.1M to $32.3M
    Mar 19, 2012 to Mar 30, 2012
  • Non-discretionary RAUM · $9.0M to $5.0M
    Mar 19, 2012 to Mar 30, 2012
  • RAUM · $45.1M to $37.3M
    Mar 19, 2012 to Mar 30, 2012
  • Financial planning clients · unset to 0
    Dec 12, 2011 to Mar 19, 2012
Signals
4 dated events
  • J••••• J•••• J••••• left V••• A•••• M••••••••• I••• for G••••• I••••••••• A••••••• (registered 2024-10-29)
    Aug 27, 2025 · Advisor changed firm · fact
  • P••••• A••• G•••••••• left V••• A•••• M••••••••• I••• for 1•• F•••••••• I••••••••• I••• (registered 2016-05-06)
    Aug 11, 2025 · Advisor changed firm · fact
  • M••• P••• C••••••••• left V••• A•••• M••••••••• I••• for O•••••• C•••••• M••••••••• L••• (registered 2011-02-16)
    Aug 8, 2025 · Advisor changed firm · fact
  • A••••• S••••• left V••• A•••• M••••••••• I••• for L••• S••••• A•••••••• L•• (registered 2024-12-05)
    Feb 4, 2025 · Advisor changed firm · fact
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