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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SEC-registered adviser
R••••••• C••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$4.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$879M
derived; firm RAUM over IAPD count
Employees
24
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$4.4B as of Mar 30, 2026
Apr 1, 2013$438M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)24 as of Mar 30, 2026
Apr 1, 201321 then
Private funds10 as of Mar 30, 2026
Apr 1, 20131 then
RAUM +64% over the last fiscal year+48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $879MderivedRAUM 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
- $439MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%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
- Custody
- yesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• S•••• H••••• | The Woodlands, Tx | Jul 9, 2012 | 18 y | 0 |
| J•••• A••••• M••• | The Woodlands, Tx | Jul 9, 2012 | 18 y | 0 |
| S•••• R•• L•••• | The Woodlands, Tx | Jul 9, 2012 | 30 y | 0 |
| J••••••• M•••••• B•••• | The Woodlands, Tx | Dec 4, 2013 | 25 y | 0 |
| W••••• F•••• Z•••••• | The Woodlands, Tx | Dec 4, 2013 | 13 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• P•••• P••••••• I•• L• | Private Equity Fund | $576M | 105 | Mar 31, 2022 |
| R••••••• P•••• P••••••• I••• L• | Private Equity Fund | $504M | 55 | Mar 31, 2017 |
| J••••••••• P•••• H•••••••• L•• | Private Equity Fund | $176M | 7 | Mar 31, 2023 |
| R••••••• P•••• P••••••• I•• L• | Private Equity Fund | $173M | 47 | Mar 31, 2014 |
| B•••••• P•••• P•••• H•••••••• L•• | Private Equity Fund | $166M | 10 | Mar 29, 2024 |
| R••••••• P•• P•••••••• L• | Private Equity Fund | $119M | 11 | Mar 29, 2024 |
| R••••••• G••••••• P•••••••• L• | Private Equity Fund | $98.0M | 17 | Mar 30, 2020 |
| R••••••• P•••• P•••••••• L• | Private Equity Fund | $12.6M | 43 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••••• M•••••• · Executive Officercontrolsince 02/2022 · owns 10% to 25%
- H•••••• W••••••• S•••• · Executive Officercontrolsince 03/2008 · owns 10% to 25%
- M•••• J••••• A••••• · Executive Officercontrolsince 03/2008 · owns 10% to 25%
- M•••••••• J•••• P•••••• · Chief Compliance Officer / General Counselcontrolsince 03/2023 · owns less than 5%
- M••••• N•••••• L••• · Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- Z••••••• W•••••• F•••• · Executive Officercontrolsince 03/2008 · owns 10% to 25%
- B••••• J•••••••• M•••••• · Managing Membercontrolsince 02/2022 · owns 25% to 50% of R••••••• C•••••• G•• L••
- H•••••• W••••••• S•••• · Managing Membercontrolsince 11/2018 · owns 25% to 50% of R••••••• C•••••• G•• L••
- M•••• J••••• A••••• · Managing Membercontrolsince 11/2018 · owns 25% to 50% of R••••••• C•••••• G•• L••
- Z••••••• W•••••• F•••• · Managing Membercontrolsince 11/2018 · owns 25% to 50% of R••••••• C•••••• G•• L••
Entity owners
- R••••••• C•••••• G•• L•• · General Partner Of R••••••• C••••••• L•direct · owns less than 5%
Related persons
Schedule D 7.A
- R••••••• G••••••• P••••••• G•• L••pooled vehicle sponsorn
- R••••••• P•• P••••••• G•• L••pooled vehicle sponsorn
- R••••••• P•••• P••••••• G•• L••pooled vehicle sponsorn
- R••••••• P•••• P••••••• I• G•• L••pooled vehicle sponsorn
- R••••••• P•••• P••••••• I•• G•• L••pooled vehicle sponsorn
- R••••••• P•••• P••••••• I• G•• L••bankpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 15May 13, 2025 to Mar 30, 2026
- Employees · 23 to 24May 13, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.7B to $4.4BMay 13, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.7B to $4.4BMay 13, 2025 to Mar 30, 2026
- RAUM · $2.7B to $4.4BMay 13, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 13, 2025
- Accounts · 8 to 10Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 12Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 10Mar 29, 2024 to Mar 31, 2025
- Employees · 22 to 23Mar 29, 2024 to Mar 31, 2025
- Private funds · 8 to 10Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.8B to $2.7BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.8B to $2.7BMar 29, 2024 to Mar 31, 2025
- RAUM · $1.8B to $2.7BMar 29, 2024 to Mar 31, 2025
- Accounts · 6 to 8Apr 13, 2023 to Mar 29, 2024
- Advisory employees · 13 to 6Apr 13, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 8Apr 13, 2023 to Mar 29, 2024
- Private funds · 6 to 8Apr 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.8BApr 13, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.8BApr 13, 2023 to Mar 29, 2024
- RAUM · $1.4B to $1.8BApr 13, 2023 to Mar 29, 2024
- Accounts · 4 to 6Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 6 to 13Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Employees · 27 to 22Mar 31, 2022 to Mar 31, 2023
- Private funds · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.4BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.4BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.4BMar 31, 2022 to Mar 31, 2023
- Related bank · false to trueMar 31, 2022 to Mar 31, 2023
- Accounts · 5 to 4Mar 2, 2022 to Mar 31, 2022
- Employees · 32 to 27Mar 2, 2022 to Mar 31, 2022
- Private funds · 4 to 5Mar 2, 2022 to Mar 31, 2022
- Discretionary RAUM · $920M to $1.1BMar 2, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $920M to $1.1BMar 2, 2022 to Mar 31, 2022
- RAUM · $920M to $1.1BMar 2, 2022 to Mar 31, 2022
- Advisory employees · 5 to 6May 28, 2020 to Mar 31, 2021
- Employees · 23 to 32May 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.2B to $920MMay 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.2B to $920MMay 28, 2020 to Mar 31, 2021
Signals
9 dated events
- R••••••• C••••••• L• reported RAUM $4.4B, up 64% from $2.7B (2025-05-13 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- R••••••• C••••••• L• reported RAUM $2.7B, up 47% from $1.8B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- R••••••• C••••••• L• reported RAUM $1.8B, up 34% from $1.4B (2023-04-13 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- John Mcmullan (Chief Compliance Officer / General Counsel) appeared on Schedule A of R••••••• C••••••• L•Mar 31, 2023 · Control person joined · fact
- M Jonathan Beach (Executive Officer) appeared on Schedule A of R••••••• C••••••• L•Mar 2, 2022 · Control person joined · fact
- R••••••• C••••••• L• reported RAUM $920.0M, down 25% from $1.2B (2020-05-28 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- R••••••• C••••••• L• reported RAUM $1.2B, up 35% from $908.3M (2019-11-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- L••• N••••• M•••• (Chief Financial Officer) appeared on Schedule A of R••••••• C••••••• L•Mar 30, 2020 · Control person joined · fact
- Elizabeth Terry Everett (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of R••••••• C••••••• L• (listed 2019-06-28, absent 2019-11-14)Nov 14, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- R••••••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- R••••••• C••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-863-9000reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $879Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026