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
A••••••••• L••
Latest filing Oct 27, 2025
First filing on the tape Aug 12, 2016 · 19 filings
SEC status approved since Aug 30, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Oct 27, 2025
Mar 31, 2017$153M then
HNW client RAUM$256M as of Mar 29, 2024
Mar 29, 2018$160M then
State-registered IARs (5.B.3)1 as of Oct 27, 2025
Mar 31, 20174 then
Employees (5.A)1 as of Oct 27, 2025
Mar 31, 20177 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Oct 27, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- 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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• A•••• N•••••Certified Financial Planner | Houston, Tx | Dec 15, 2025 | 21 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J•••• S•••• W•••••• to S•••••• F•••••••• G••••• L•••••Apr 1, 2024 · RIA to RIA
- A•• C••••••• T•••••••• to M••••• A•••••••Jun 20, 2023 · RIA to RIA
- H••••• R•••••• B•••• to W••••• J•••••• W•••••Jun 8, 2020 · RIA to RIA
- J••• D••••• C•••••• to W••••••• W••••• M••••••••• L•••••Apr 17, 2019 · RIA to RIA
- A•••• R•••• S•••• to T•••••• W••••• M•••••••••Jul 3, 2018 · RIA to RIA
Joined, latest
- H••••• R•••••• B•••• from R••••••• C••••••••• G••••• I•••Sep 8, 2016 · Other
- J••• D••••• C•••••• from W•••• F•••• A••••••••• A•••• M••••••••• L••Feb 23, 2016 · Other
- A•• A•••• N••••• from V•••••• A•••••••• I•••Sep 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• A••• A•••• · Managing Member/Ccocontrolsince 08/2009 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 0 to 1May 5, 2025 to Aug 1, 2025
- Financial planning clients · unset to Mar 23, 2025 to May 5, 2025
- Accounts · 268 to 0Mar 29, 2024 to Mar 23, 2025
- Advisory employees · 2 to 0Mar 29, 2024 to Mar 23, 2025
- Advisory activities · 2 to 1Mar 29, 2024 to Mar 23, 2025
- BD registered reps · 2 to 1Mar 29, 2024 to Mar 23, 2025
- Charity clients · 2.0 to unsetMar 29, 2024 to Mar 23, 2025
- Corporate clients · 1.0 to unsetMar 29, 2024 to Mar 23, 2025
- HNW clients · 31.0 to unsetMar 29, 2024 to Mar 23, 2025
- Individual clients · 36.0 to unsetMar 29, 2024 to Mar 23, 2025
- Assets in custody · 33239629.0 to unsetMar 29, 2024 to Mar 23, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 23, 2025
- Employees · 4 to 1Mar 29, 2024 to Mar 23, 2025
- Financial planning clients · 51-100 to unsetMar 29, 2024 to Mar 23, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to Mar 23, 2025
- Discretionary RAUM · $292M to $0Mar 29, 2024 to Mar 23, 2025
- HNW RAUM · 255840839.0 to unsetMar 29, 2024 to Mar 23, 2025
- Individual RAUM · 41474191.0 to unsetMar 29, 2024 to Mar 23, 2025
- Non-discretionary RAUM · $10.0M to $0Mar 29, 2024 to Mar 23, 2025
- RAUM · $302M to $0Mar 29, 2024 to Mar 23, 2025
- Accounts · 257 to 268Feb 24, 2023 to Mar 29, 2024
- Advisory employees · 5 to 2Feb 24, 2023 to Mar 29, 2024
- Corporate clients · unset to 1.0Feb 24, 2023 to Mar 29, 2024
- HNW clients · 32 to 31Feb 24, 2023 to Mar 29, 2024
- Assets in custody · $24.6M to $33.2MFeb 24, 2023 to Mar 29, 2024
- Employees · 7 to 4Feb 24, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 2Feb 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $265M to $292MFeb 24, 2023 to Mar 29, 2024
- HNW RAUM · $236M to $256MFeb 24, 2023 to Mar 29, 2024
- Individual RAUM · $33.1M to $41.5MFeb 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $7.3M to $10.0MFeb 24, 2023 to Mar 29, 2024
- RAUM · $273M to $302MFeb 24, 2023 to Mar 29, 2024
- Accounts · 246 to 257Mar 18, 2022 to Feb 24, 2023
- Advisory employees · 6 to 5Mar 18, 2022 to Feb 24, 2023
- Advisory activities · 3 to 2Mar 18, 2022 to Feb 24, 2023
- BD registered reps · 1 to 2Mar 18, 2022 to Feb 24, 2023
- Charity clients · unset to 2.0Mar 18, 2022 to Feb 24, 2023
- HNW clients · 27 to 32Mar 18, 2022 to Feb 24, 2023
- Individual clients · 38 to 36Mar 18, 2022 to Feb 24, 2023
- Assets in custody · $31.5M to $24.6MMar 18, 2022 to Feb 24, 2023
Signals
5 dated events
- A••••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02)Feb 2, 2026 · Left the SEC roster · derived
- A••••••••• L•• reported RAUM $0, down 100% from $302.4M (2024-03-29 to 2025-03-23)Mar 23, 2025 · RAUM change · derived
- J•••• S•••• W•••••• left A••••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2024-04-01)Apr 1, 2024 · Advisor changed firm · fact
- A•• C••••••• T•••••••• left A••••••••• L•• for M••••• A••••••• (registered 2023-06-29)Jun 20, 2023 · Advisor changed firm · fact
- A••••••••• L•• filed its initial SEC registration (Form ADV)Aug 12, 2016 · First SEC registration · 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