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
P•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 30, 2012
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
16
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.8B as of Mar 27, 2026
Feb 4, 2013$3.2B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 4, 20130 then
Employees (5.A)16 as of Mar 27, 2026
Feb 4, 201320 then
Private funds1 as of Mar 27, 2026
Feb 4, 20131 then
RAUM +7.6% over the last fiscal year-3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.8BderivedRAUM 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
- $465MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%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
- $2.0B, 5 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.8B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 5 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=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• F•••• B••••Chartered Financial Analyst | Dallas, Tx | Apr 18, 2012 | 29 y | 1 |
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
- T•••• F•••• B•••• from T•••••• C•••••• M••••••••• L•••Apr 18, 2012 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• •••• L••• | Hedge Fund | $2.7B | 404 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P••••••• C••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 11/2012 · owns 5% to 10%
- B••••• T••••• F•••• · Principalcontrolsince 01/2008 · owns 10% to 25%
- D••••••••• I•• J•••••• H••••• · Principalcontrolsince 07/2007 · owns 10% to 25%
- L••••••••• J•••••• A••• · Chief Financial Officercontrolsince 09/2004 · owns less than 5%
- S••••• J•••• A•••••••• · Principalcontrolsince 07/1990 · owns 10% to 25%
- S••••• P••••••• B•••• · Principalcontrolsince 07/2011 · owns 10% to 25%
- T••••••••• J•••• E•••••• · Principalcontrolsince 01/2010 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Assets in custody · $1.8B to $2.0BMar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.6B to $2.8BMar 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.6B to $2.8BMar 24, 2025 to Mar 27, 2026
- RAUM · $2.6B to $2.8BMar 24, 2025 to Mar 27, 2026
- Assets in custody · $1.9B to $1.8BMar 25, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $3.0B to $2.6BMar 25, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $3.0B to $2.6BMar 25, 2024 to Mar 24, 2025
- RAUM · $3.0B to $2.6BMar 25, 2024 to Mar 24, 2025
- Assets in custody · $1.7B to $1.9BMar 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $3.1B to $3.0BMar 24, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $3.1B to $3.0BMar 24, 2023 to Mar 25, 2024
- RAUM · $3.1B to $3.0BMar 24, 2023 to Mar 25, 2024
- Assets in custody · $2.7B to $1.7BMar 29, 2022 to Mar 24, 2023
- Employees · 17 to 16Mar 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $4.0B to $3.1BMar 29, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $4.0B to $3.1BMar 29, 2022 to Mar 24, 2023
- RAUM · $4.0B to $3.1BMar 29, 2022 to Mar 24, 2023
- Assets in custody · $2.7B to $2.7BMar 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $4.1B to $4.0BMar 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $4.1B to $4.0BMar 25, 2021 to Mar 29, 2022
- RAUM · $4.1B to $4.0BMar 25, 2021 to Mar 29, 2022
- Assets in custody · $2.4B to $2.7BMar 23, 2020 to Mar 25, 2021
- Discretionary RAUM · $3.6B to $4.1BMar 23, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $3.6B to $4.1BMar 23, 2020 to Mar 25, 2021
- RAUM · $3.6B to $4.1BMar 23, 2020 to Mar 25, 2021
- Assets in custody · $2.2B to $2.4BMar 28, 2019 to Mar 23, 2020
- Discretionary RAUM · $3.4B to $3.6BMar 28, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $3.4B to $3.6BMar 28, 2019 to Mar 23, 2020
- RAUM · $3.4B to $3.6BMar 28, 2019 to Mar 23, 2020
- Assets in custody · $2.5B to $2.2BMar 22, 2018 to Mar 28, 2019
- Discretionary RAUM · $3.6B to $3.4BMar 22, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $3.6B to $3.4BMar 22, 2018 to Mar 28, 2019
- RAUM · $3.6B to $3.4BMar 22, 2018 to Mar 28, 2019
- Related adviser · true to falseMar 22, 2018 to Mar 28, 2019
- Related bank · true to falseMar 22, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Mar 21, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 21, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 21, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 21, 2017 to Mar 22, 2018
Signals
1 dated events
- Gustav Paul Roess (Director Of Investor Relations) no longer on Schedule A of P•••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-24)Mar 24, 2023 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 423-266-3544reportedpublic record, Form ADV, Mar 27, 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
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026