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•••••• A••••••• • M••••••••• L••

Former SEC-registered adviserAustin, TexasCRD 155745SEC 801-72061IAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$419M
reported, Item 5.F
Discretionary
6.9%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$394M gross assets
History
23 filings and snapshots on the tape
RAUM$419M as of Mar 29, 2024
Mar 29, 2012$626M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 29, 20120 then
Employees (5.A)2 as of Mar 29, 2024
Mar 25, 201318 then
Private funds2 as of Mar 29, 2024
Mar 29, 20121 then
RAUM +4.0% over the last fiscal year-2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$140MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.9%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
+4.0%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
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)
  • 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$419M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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 departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• L••••••• P••••••• L•Real Estate Fund$373M2Mar 30, 2016
      R••• S•••••••• R••••••• I• L•Hedge Fund$20.3M25Mar 29, 2012
      M•• O••••••••• I• L•no longer reportedHedge Fund$17.3M2Jul 23, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• S•••• A••• · Manager/Chief Executive Officercontrol
        since 11/2010 · owns less than 5%
      • R••••••••• J••••• J•••• · Chief Compliance Officer
        since 06/2020 · owns less than 5%
      Entity owners
      • A•••••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•• C•• F••• I• A••••••••• G•• L••
        pooled vehicle sponsorn
      • A•••••• C•••••• M••••••••• L••
        investment adviserbanknRAUM $545M
      • A•••••• R••••••••• L••
        pooled vehicle sponsorn
      • A•••••• S••• V• G•• L••
        pooled vehicle sponsorn
      • A••• G•• L••
        pooled vehicle sponsory
      • C•••• F••• G•• L••
        pooled vehicle sponsorn
      • M••• S••••• R••••••• L••
        investment companyn
      • R••• S•••••••• R••••••• I• G• L••
        bankpooled vehicle sponsory
      • V••• M••••• G• L••
        pooled vehicle sponsorn
      Advisers that list A•••••• A••••••• • M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $29.6M to $29.1M
        Mar 31, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $373M to $390M
        Mar 31, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $403M to $419M
        Mar 31, 2023 to Mar 29, 2024
      • RAUM · $403M to $419M
        Mar 31, 2023 to Mar 29, 2024
      • State-registered IARs · 1 to 0
        Apr 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · $54.9M to $29.6M
        Apr 29, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $421M to $373M
        Apr 29, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $476M to $403M
        Apr 29, 2022 to Mar 31, 2023
      • RAUM · $476M to $403M
        Apr 29, 2022 to Mar 31, 2023
      • Related broker-dealer · true to false
        Apr 29, 2022 to Mar 31, 2023
      • Employees · 3 to 2
        Mar 31, 2021 to Mar 31, 2022
      • Other offices · 1 to 0
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $64.2M to $54.9M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $391M to $421M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $455M to $476M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $455M to $476M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · 45227065.0 to unset
        Jun 20, 2020 to Mar 31, 2021
      • Custody of client assets · true to false
        Jun 20, 2020 to Mar 31, 2021
      • Discretionary RAUM · $139M to $64.2M
        Jun 20, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $389M to $391M
        Jun 20, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $528M to $455M
        Jun 20, 2020 to Mar 31, 2021
      • RAUM · $528M to $455M
        Jun 20, 2020 to Mar 31, 2021
      • Assets in custody · $44.5M to $45.2M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $309M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $78.2M to $389M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $387M to $528M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $387M to $528M
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $110M to $44.5M
        May 3, 2018 to Mar 29, 2019
      • Discretionary RAUM · $437M to $309M
        May 3, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $0 to $78.2M
        May 3, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $437M to $387M
        May 3, 2018 to Mar 29, 2019
      • RAUM · $437M to $387M
        May 3, 2018 to Mar 29, 2019
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $202M to $110M
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $619M to $437M
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 437381607.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $619M to $437M
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 4 to 3
        Oct 21, 2016 to Mar 28, 2017
      • Advisory employees · 3 to 1
        Oct 21, 2016 to Mar 28, 2017
      Signals
      6 dated events
      • A•••••• A••••••• • M••••••••• L•• reported RAUM $527.9M, up 36% from $387.2M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Arthur Charles Davis (Managing Member) no longer on Schedule A of A•••••• A••••••• • M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Dawson James Carey (Managing Member) no longer on Schedule A of A•••••• A••••••• • M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Jay David Wermuth (Managing Member) no longer on Schedule A of A•••••• A••••••• • M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • David Nicolas Zerbib (Managing Member) no longer on Schedule A of A•••••• A••••••• • M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • A•••••• A••••••• • M••••••••• L•• reported RAUM $437.4M, down 29% from $619.4M (2017-03-28 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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
      Across the graphs

      A•••••• A••••••• • M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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