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

R•• C•••••• M••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 155965SEC 801-72064IAPD
Latest filing Jan 5, 2015
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$401M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$258M gross assets
History
5 filings and snapshots on the tape
RAUM$401M as of Mar 27, 2014
Mar 30, 2012$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2014
Mar 30, 20120 then
Employees (5.A)4 as of Mar 27, 2014
Apr 1, 20134 then
Private funds2 as of Mar 27, 2014
Mar 30, 20121 then
RAUM +46% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Jan 5, 2015; every figure names its basis
RAUM per advisor
$134MderivedRAUM 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+46%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
performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$221M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
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
292reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$221M for 2 clientsreported
Compensation
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
S•••••• M•• F••• L•••Hedge Fund$200M130Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • D•••••• J•••• C•••••• · Chief Compliance Officer And Presidentcontrol
    since 01/2015 · owns 25% to 50%
  • G••••••• F••••• T••••••• · Portfolio Managercontrol
    since 03/2011 · owns 10% to 25%
  • R•••• G••••••• A•••• · Chief Executive Officer And Managing Membercontrol
    since 06/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Employees · 4 to 3
    Mar 27, 2014 to Jan 5, 2015
  • Insurance-licensed employees · 4 to 3
    Mar 27, 2014 to Jan 5, 2015
  • State-registered IARs · 4 to 3
    Mar 27, 2014 to Jan 5, 2015
  • Accounts · 4 to 292
    Apr 1, 2013 to Mar 27, 2014
  • Private funds · 1 to 2
    Apr 1, 2013 to Mar 27, 2014
  • Discretionary RAUM · $275M to $401M
    Apr 1, 2013 to Mar 27, 2014
  • RAUM · $275M to $401M
    Apr 1, 2013 to Mar 27, 2014
  • Accounts · 5 to 4
    Mar 30, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Mar 30, 2012 to Apr 1, 2013
  • Advisory activities · 4 to 3
    Mar 30, 2012 to Apr 1, 2013
  • BD registered reps · unset to 3.0
    Mar 30, 2012 to Apr 1, 2013
  • Assets in custody · $200M to $221M
    Mar 30, 2012 to Apr 1, 2013
  • Employees · unset to 4.0
    Mar 30, 2012 to Apr 1, 2013
  • State-registered IARs · 0 to 4
    Mar 30, 2012 to Apr 1, 2013
  • Discretionary RAUM · $215M to $275M
    Mar 30, 2012 to Apr 1, 2013
  • RAUM · $215M to $275M
    Mar 30, 2012 to Apr 1, 2013
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