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

D•••• S•••• I•••

Former SEC-registered adviserDallas, TexasCRD 156119SEC 801-72277IAPD
Latest filing Mar 31, 2022
First filing on the tape Dec 22, 2011 · 21 filings
RAUM
$161M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
$161M gross assets
History
21 filings and snapshots on the tape
RAUM$161M as of Mar 31, 2022
Mar 30, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)4 as of Mar 31, 2022
Apr 1, 20130 then
Private funds14 as of Mar 31, 2022
Mar 30, 20126 then
RAUM -15% over the last fiscal year-16% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$11.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-15%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$161M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      20 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••••• C•• X• L••••••no longer reportedSecuritized Asset Fund$1.0B1Mar 30, 2012
      N•••••••• C•• I• 1• L••••••no longer reportedSecuritized Asset Fund$229M1Mar 30, 2012
      N•••••••• C•• I•• L••••••no longer reportedSecuritized Asset Fund$151M1Mar 30, 2012
      N•••••••• C•• V••• 1• L••••••no longer reportedSecuritized Asset Fund$150M1Mar 30, 2012
      C•••• C•• X•••• L••Securitized Asset Fund$41.1M0Mar 30, 2012
      C•••• C•• X•• L••Securitized Asset Fund$33.9M0Mar 30, 2012
      N•••••••• C•• V• L•••••••no longer reportedSecuritized Asset Fund$23.9M0Mar 30, 2012
      C•••• C•• X••• L••Securitized Asset Fund$20.2M0Mar 30, 2012
      C•••• C•• X• L••Securitized Asset Fund$18.7M0Mar 30, 2012
      C•••• C•• X•• L••Securitized Asset Fund$11.3M1Mar 30, 2012
      C•••• C•• X•• L••Securitized Asset Fund$7.8M0Mar 30, 2012
      C•••• C•• X• L••Securitized Asset Fund$6.6M0Mar 30, 2012
      C•••• C•• I• L••Securitized Asset Fund$4.5M0Mar 30, 2012
      C•••• C•• V••• L••Securitized Asset Fund$3.9M0Mar 30, 2012
      C•••• C•• X• L••Securitized Asset Fund$3.6M0Mar 30, 2012
      C•••• C•• X•• L••Securitized Asset Fund$3.6M0Mar 30, 2012
      C•••• C•• I• L••Securitized Asset Fund$2.6M0Mar 30, 2012
      C•••• C•• X••• L••Securitized Asset Fund$1.8M0Mar 30, 2012
      N•••••••• C•• V•• L•••••••Securitized Asset Fund$1.0M0Mar 30, 2012
      A••••• 2•••••••• L••no longer reportedSecuritized Asset Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• W••••••• J• · Directorcontrol
        since 06/2018 · owns less than 5%
      • C••••••• V•••••• W• · Directorcontrol
        since 04/2019 · owns less than 5%
      • C••••• B•••••••• M• · Directorcontrol
        since 04/2019 · owns less than 5%
      • E••••• W•••••• R••••• · Chairman Of The Board Of Directorscontrol
        since 06/2002 · owns 10% to 25%
      • F••••• N•••••••• M•••••• · General Counsel/ Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      • K•••••• H••• · Ceo & Directorcontrol
        since 08/2019 · owns less than 5%
      • M••••••••• S•••••• A• · Directorcontrol
        since 10/2002 · owns less than 5%
      • N••••••• M••••••• L•• · Chief Financial Officercontrol
        since 09/2020 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list D•••• S•••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Jun 22, 2021 to Mar 31, 2022
      • Discretionary RAUM · $190M to $161M
        Jun 22, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $190M to $161M
        Jun 22, 2021 to Mar 31, 2022
      • RAUM · $190M to $161M
        Jun 22, 2021 to Mar 31, 2022
      • Advisory employees · 2 to 1
        Mar 28, 2020 to Mar 31, 2021
      • Employees · 8 to 4
        Mar 28, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to DALLAS
        Mar 28, 2020 to Mar 31, 2021
      • HQ state · NY to TX
        Mar 28, 2020 to Mar 31, 2021
      • Other offices · 0 to 1
        Mar 28, 2020 to Mar 31, 2021
      • Discretionary RAUM · $219M to $190M
        Mar 28, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $219M to $190M
        Mar 28, 2020 to Mar 31, 2021
      • RAUM · $219M to $190M
        Mar 28, 2020 to Mar 31, 2021
      • Accounts · 15 to 14
        Jan 23, 2020 to Mar 28, 2020
      • Pooled vehicle clients · 15 to 14
        Jan 23, 2020 to Mar 28, 2020
      • Employees · 27 to 8
        Jan 23, 2020 to Mar 28, 2020
      • Private funds · 15 to 14
        Jan 23, 2020 to Mar 28, 2020
      • Discretionary RAUM · $274M to $219M
        Jan 23, 2020 to Mar 28, 2020
      • Pooled vehicle RAUM · $274M to $219M
        Jan 23, 2020 to Mar 28, 2020
      • RAUM · $274M to $219M
        Jan 23, 2020 to Mar 28, 2020
      • Accounts · 16 to 15
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 5 to 2
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 16 to 15
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 16 to 15
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $356M to $274M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $356M to $274M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $356M to $274M
        Mar 29, 2018 to Mar 29, 2019
      • Related adviser · true to false
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 2 to 16
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 0 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 16.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 0 to 27
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 2 to 16
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $72.6M to $356M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 355568130.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $72.6M to $356M
        Mar 30, 2017 to Mar 29, 2018
      • Related bank · true to false
        Mar 30, 2017 to Mar 29, 2018
      • Related broker-dealer · true to false
        Mar 30, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Apr 15, 2016 to Mar 30, 2017
      • Discretionary RAUM · $113M to $72.6M
        Apr 15, 2016 to Mar 30, 2017
      Signals
      16 dated events
      • A••••• L••••••• G•••••••• (Chief Accounting Officer, And Treasurer) no longer on Schedule A of D•••• S•••• I••• (listed 2021-06-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Clifford Press (Director) no longer on Schedule A of D•••• S•••• I••• (listed 2021-03-31, absent 2021-06-22)
        Jun 22, 2021 · Control person left · inference
      • Lee Michael Nichols (Chief Financial Officer) appeared on Schedule A of D•••• S•••• I•••
        Mar 31, 2021 · Control person joined · fact
      • Michael David Hammarley (Chief Financial Officer) no longer on Schedule A of D•••• S•••• I••• (listed 2020-01-23, absent 2020-03-28)
        Mar 28, 2020 · Control person left · inference
      • A K•••••• May (Ceo) no longer on Schedule A of D•••• S•••• I••• (listed 2019-10-10, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • James Kevin Finnerty (Director) no longer on Schedule A of D•••• S•••• I••• (listed 2019-04-05, absent 2019-10-10)
        Oct 10, 2019 · Control person left · inference
      • Louise Sarah Watterson (Director) no longer on Schedule A of D•••• S•••• I••• (listed 2019-04-05, absent 2019-10-10)
        Oct 10, 2019 · Control person left · inference
      • Ann Sara Yakin (Chief Operating Officer) no longer on Schedule A of D•••• S•••• I••• (listed 2019-04-05, absent 2019-10-10)
        Oct 10, 2019 · Control person left · inference
      • Hana Khouri (President) appeared on Schedule A of D•••• S•••• I•••
        Oct 10, 2019 · Control person joined · fact
      • W. Virgis Colbert (Director) appeared on Schedule A of D•••• S•••• I•••
        Oct 10, 2019 · Control person joined · fact
      • M. Benjamin Crane (Director) appeared on Schedule A of D•••• S•••• I•••
        Oct 10, 2019 · Control person joined · fact
      • A K•••••• May (Ceo & President) appeared on Schedule A of D•••• S•••• I•••
        Mar 29, 2019 · Control person joined · fact
      • Michael David Hammarley (Chief Financial Officer) appeared on Schedule A of D•••• S•••• I•••
        Mar 29, 2019 · Control person joined · fact
      • J William Clifford (Director) appeared on Schedule A of D•••• S•••• I•••
        Mar 29, 2019 · Control person joined · fact
      • Levering Alan Tyson (Director) no longer on Schedule A of D•••• S•••• I••• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • D•••• S•••• I••• reported RAUM $355.6M, up 390% from $72.6M (2017-03-30 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