DFX Intelligence

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Former SEC-registered adviser

A••••

Former SEC-registered adviserLeague City, TexasCRD 155158SEC 801-72010IAPD

Legal name A••••••• N••••••• R••••••••• I••••••••• A••••••• I•••

Latest filing Mar 4, 2022

First filing on the tape Mar 28, 2012 · 26 filings

RAUM

$352M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

2.0%

$7.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$352M as of Mar 4, 2022

Mar 28, 2012$206M then

HNW client RAUM$7.1M as of Mar 4, 2022

Mar 23, 2018$18.8M then

State-registered IARs (5.B.3)5 as of Mar 4, 2022

Apr 1, 20138 then

Employees (5.A)26 as of Mar 4, 2022

Apr 1, 201320 then

Private funds: no history

RAUM +19% over the last fiscal year+20% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Mar 4, 2022; every figure names its basis

RAUM per advisor: $70.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $14.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.2derivedItem 5.A over advisors
Advisors per office: 2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%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, fixed fees, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
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)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Charitable organizations$183M52%
Corporations and businesses$117M33%
Pension and profit-sharing plans$23.2M6.6%
Insurance companies$20.8M5.9%
High-net-worth individuals$7.1M2.0%

Individual clients: n/areported
HNW clients: 4reported
Pension plan clients: 1reported
Charitable clients: 5reported
Accounts: 25reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• J••••• M••• · Vp, Chief Compliance Officercontrol
since 08/2021 · owns less than 5%
D•••••• S••••••• D•••••• D••••• · Treasurercontrol
since 05/2015 · owns less than 5%
L•••••• A•••• M•••• · President, Chief Executive Officer, Directorcontrol
since 05/2015 · owns less than 5%
P••••• J••••• E••••• · Directorcontrol
since 08/2010 · owns less than 5%
S•••••••• S••••••• B•••• · Vice President, Finance, Cfocontrol
since 06/2017 · owns less than 5%
H••••••• I•••• J•••••• · Secretary
since 07/2021 · owns less than 5%

Entity owners

A••••••• N••••••• I•••••••• C•••••• · Shareholder
direct · owns 75% or more
A••••••• N••••••• G••••• I••• · Parent Company
indirect · owns 75% or more of A••••••• N••••••• I•••••••• C•••••• · public reporting company

Related persons

Schedule D 7.A

A••••••• N••••••• I•••••••• C••••••
investment companyLP sponsorreal estatey
A•••• F•••••••• S•••••••• I•••
broker-dealern
M•••• N••••••• B•••
custodiany

Offices

Schedule D 1.F, the 25 largest

Galveston, TX3 employees

What changed

consecutive filings, newest first

BD registered reps · 6 to 8
Aug 27, 2021 to Mar 4, 2022
Discretionary RAUM · $297M to $352M
Aug 27, 2021 to Mar 4, 2022
HNW RAUM · $6.7M to $7.1M
Aug 27, 2021 to Mar 4, 2022
Pension RAUM · $20.8M to $23.2M
Aug 27, 2021 to Mar 4, 2022
RAUM · $297M to $352M
Aug 27, 2021 to Mar 4, 2022
Advisory employees · 7 to 8
May 13, 2020 to Mar 11, 2021
Employees · 29 to 26
May 13, 2020 to Mar 11, 2021
State-registered IARs · 4 to 5
May 13, 2020 to Mar 11, 2021
Discretionary RAUM · $254M to $297M
May 13, 2020 to Mar 11, 2021
HNW RAUM · $6.3M to $6.7M
May 13, 2020 to Mar 11, 2021
Pension RAUM · $18.4M to $20.8M
May 13, 2020 to Mar 11, 2021
RAUM · $254M to $297M
May 13, 2020 to Mar 11, 2021
Business name · A•• •••••• O• •••••• I•••• to A••••
Mar 31, 2020 to May 13, 2020
Accounts · 26 to 25
Mar 29, 2019 to Mar 31, 2020
BD registered reps · 5 to 6
Mar 29, 2019 to Mar 31, 2020
HNW clients · 5 to 4
Mar 29, 2019 to Mar 31, 2020
Employees · 28 to 29
Mar 29, 2019 to Mar 31, 2020
Discretionary RAUM · $206M to $254M
Mar 29, 2019 to Mar 31, 2020
HNW RAUM · $17.7M to $6.3M
Mar 29, 2019 to Mar 31, 2020
Pension RAUM · $16.1M to $18.4M
Mar 29, 2019 to Mar 31, 2020
RAUM · $206M to $254M
Mar 29, 2019 to Mar 31, 2020
Employees · 22 to 28
Nov 8, 2018 to Mar 29, 2019
Discretionary RAUM · $256M to $206M
Nov 8, 2018 to Mar 29, 2019
HNW RAUM · $18.8M to $17.7M
Nov 8, 2018 to Mar 29, 2019
Pension RAUM · $19.3M to $16.1M
Nov 8, 2018 to Mar 29, 2019
RAUM · $256M to $206M
Nov 8, 2018 to Mar 29, 2019
Accounts · 29 to 26
Feb 20, 2018 to Mar 23, 2018
Advisory employees · 8 to 7
Feb 20, 2018 to Mar 23, 2018
Charity clients · 3 to 5
Feb 20, 2018 to Mar 23, 2018
Corporate clients · 12 to 14
Feb 20, 2018 to Mar 23, 2018
HNW clients · 1 to 5
Feb 20, 2018 to Mar 23, 2018
Individual clients · 9.0 to unset
Feb 20, 2018 to Mar 23, 2018
Employees · 23 to 22
Feb 20, 2018 to Mar 23, 2018
State-registered IARs · 5 to 4
Feb 20, 2018 to Mar 23, 2018
Discretionary RAUM · $269M to $256M
Feb 20, 2018 to Mar 23, 2018
HNW RAUM · unset to 18808584.0
Feb 20, 2018 to Mar 23, 2018
Pension RAUM · unset to 19251940.0
Feb 20, 2018 to Mar 23, 2018
RAUM · $269M to $256M
Feb 20, 2018 to Mar 23, 2018
Charity clients · unset to 3.0
Sep 20, 2017 to Feb 20, 2018
Corporate clients · unset to 12.0
Sep 20, 2017 to Feb 20, 2018

Signals

3 dated events

••• Locked
Aug 27, 2021 · Control person joined · fact
••• Locked
Aug 27, 2021 · Control person left · inference
••• Locked
Mar 11, 2021 · Control person left · inference

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