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

Q• I•••••••••

Former SEC-registered adviserFort Worth, TexasCRD 157478SEC 801-73461IAPD
Legal name A••••••••• G•••••• L•••
Latest filing May 6, 2021
First filing on the tape Feb 13, 2012 · 22 filings
RAUM
$911M
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
48
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$911M gross assets
History
22 filings and snapshots on the tape
RAUM$911M as of Mar 30, 2021
Mar 28, 2013$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2021
Mar 28, 20136 then
Employees (5.A)48 as of Mar 30, 2021
Mar 28, 201356 then
Private funds3 as of Mar 30, 2021
Mar 28, 20132 then
RAUM -28% over the last fiscal year-27% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 6, 2021; every figure names its basis
RAUM per advisor
$228MderivedRAUM 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
$101MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
12.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-28%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 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
$911M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$911M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$911M for 9 clientsreported
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
      Q•••• T•••••• L••Hedge Fund$518M56Feb 13, 2012
      R• I••••••••• L••Hedge Fund$390M56Feb 13, 2012
      U••••••••• A•••••••• L•••Hedge Fund$2.6M6Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• N•••••• C•••••• · Coocontrol
        since 01/2021 · owns less than 5%
      • J••••••• E•••• B•••••• · Officercontrol
        since 12/2016 · owns less than 5%
      • K•••• R••••••• L•••• · Cfocontrol
        since 05/2019 · owns less than 5%
      • M••••••• S••••• D••••• · Officercontrol
        since 01/2011 · owns less than 5%
      • N•••••• N••• · Caocontrol
        since 10/2005 · owns less than 5%
      • R•••••• G•••••••• P••• · Ceo, Owner Of S•••••• H•••••••• I••• And LP Of A••• W•••••• L•••control
        since 09/1994 · owns 75% or more
      • R•••••• G•••••••• P••• · LPcontrol
        since 09/1994 · owns 75% or more of A••• W•••••• L•••
      • R•••••• G•••••••• P••• · Ownercontrol
        since 09/1994 · owns 75% or more of S•••••• H•••••••• I•••
      • R•••••• G•••••••• P••• · Ownercontrol
        since 10/1999 · owns 75% or more of R••••••• R••••••••• I•••
      • R•••••• G•••••••• P••• · Ownercontrol
        since 01/2001 · owns 75% or more of R••••••• M••••••••• L••
      • R•••••• G•••••••• P••• · Trusteecontrol
        since 05/2001 · owns F of P••• B••• T••••
      • R•••••• G•••••••• P••• · Trusteecontrol
        since 06/2003 · owns F of M••• B••• T•••• And B••• B••• T••••
      • C••••••••• P•••• E•••• · Cco
        since 07/2015 · owns less than 5%
      Entity owners
      • A••• W•••••• L••• · LP Of A••••••••• G•••••• L•••
        direct · owns 75% or more
      • E•••••••• D•••••••• L•• · Gp Of Star Spangled Sprockets, L.P.
        direct · owns less than 5%
      • E•••••••• W••••••••• L•• · Gp Of W•••••••• Sprockets, L.P.
        direct · owns less than 5%
      • J• A••••• O•••••••• L•• · Gp Of Prufrock O•••••••, L.P.
        direct · owns less than 5%
      • J• A••••• O••••••• L•• · Gp Of Prufrock O••••••, L.P.
        direct · owns less than 5%
      • P•••••• E••••••••• L••• · LP Of Star Spangled Sprockets, L.P., W•••••••• Sprockets, L.P., And Q Global Capital Management, L.P.
        direct · owns 75% or more
      • Q• G••••• A•••••••• L•• · Gp Of Q Global Capital Management, L.P.
        direct · owns less than 5%
      • R••••••• R••••••••• I••• · Member Of Q Employees, LLC
        direct · owns 75% or more
      • S•••••• H•••••••• I••• · Gp Of A••• W•••••• L•••
        direct · owns less than 5%
      • U•••••••• L••• · LP Of Prufrock O••••••, L.P. & Prufrock O•••••••, L.P.
        direct · owns 75% or more
      • B••• B••• T•••• · LP
        indirect · owns 25% to 50% of P•••••• E••••••••• L•••
      • M••• B••• T•••• · LP
        indirect · owns 25% to 50% of P•••••• E••••••••• L•••
      • N•• Y••• P•••••• T•••• · Trustee
        indirect · owns F of B••• B••• T••••
      • P••• B••• T•••• · LP
        indirect · owns 75% or more of U•••••••• L•••
      • R••••••• M••••••••• L•• · Gp
        indirect · owns F of P•••••• E••••••••• L•••
      • R••••••• M••••••••• L•• · Gp
        indirect · owns F of U•••••••• L•••
      • T•••••••• T•••• C•• · Trustee
        indirect · owns F of M••• B••• T••••
      • T•••••••• T•••• C•• · Trustee
        indirect · owns F of P••• B••• T••••
      Related persons
      Schedule D 7.A
      • T•••• E••••••• B•••• S••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 9
        Mar 27, 2020 to Mar 30, 2021
      • Advisory employees · 18 to 19
        Mar 27, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 10 to 9
        Mar 27, 2020 to Mar 30, 2021
      • Assets in custody · $1.3B to $911M
        Mar 27, 2020 to Mar 30, 2021
      • Employees · 46 to 48
        Mar 27, 2020 to Mar 30, 2021
      • State-registered IARs · 5 to 4
        Mar 27, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.3B to $911M
        Mar 27, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.3B to $911M
        Mar 27, 2020 to Mar 30, 2021
      • RAUM · $1.3B to $911M
        Mar 27, 2020 to Mar 30, 2021
      • Advisory employees · 20 to 18
        Sep 13, 2019 to Mar 27, 2020
      • Assets in custody · $2.1B to $1.3B
        Sep 13, 2019 to Mar 27, 2020
      • Employees · 49 to 46
        Sep 13, 2019 to Mar 27, 2020
      • Discretionary RAUM · $2.1B to $1.3B
        Sep 13, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $2.1B to $1.3B
        Sep 13, 2019 to Mar 27, 2020
      • RAUM · $2.1B to $1.3B
        Sep 13, 2019 to Mar 27, 2020
      • Advisory employees · 23 to 20
        Jul 11, 2018 to Mar 29, 2019
      • Assets in custody · $2.3B to $2.1B
        Jul 11, 2018 to Mar 29, 2019
      • Employees · 54 to 49
        Jul 11, 2018 to Mar 29, 2019
      • State-registered IARs · 6 to 5
        Jul 11, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.3B to $2.1B
        Jul 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.3B to $2.1B
        Jul 11, 2018 to Mar 29, 2019
      • RAUM · $2.3B to $2.1B
        Jul 11, 2018 to Mar 29, 2019
      • State-registered IARs · 5 to 6
        Sep 26, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 26, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.4B to $2.3B
        Sep 26, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2315099889.0
        Sep 26, 2017 to Mar 29, 2018
      • RAUM · $2.4B to $2.3B
        Sep 26, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Sep 26, 2017 to Mar 29, 2018
      • Related bank · true to false
        Sep 26, 2017 to Mar 29, 2018
      • Accounts · 11 to 10
        Sep 26, 2017 to Mar 29, 2018
      • Advisory activities · 2 to 1
        Sep 26, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 10.0
        Sep 26, 2017 to Mar 29, 2018
      • Assets in custody · $2.4B to $2.3B
        Sep 26, 2017 to Mar 29, 2018
      • Employees · 59 to 54
        Sep 26, 2017 to Mar 29, 2018
      • Advisory employees · 22 to 23
        Jun 29, 2016 to Mar 31, 2017
      • Assets in custody · $2.4B to $2.4B
        Jun 29, 2016 to Mar 31, 2017
      • Employees · 54 to 59
        Jun 29, 2016 to Mar 31, 2017
      • Private funds · 2 to 3
        Jun 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.4B to $2.4B
        Jun 29, 2016 to Mar 31, 2017
      • RAUM · $2.4B to $2.4B
        Jun 29, 2016 to Mar 31, 2017
      Signals
      6 dated events
      • Q• I••••••••• reported RAUM $911.5M, down 28% from $1.3B (2020-03-27 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • Brandon Teague (Coo) no longer on Schedule A of Q• I••••••••• (listed 2020-03-27, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Alan Brandon Teague (Trustee) no longer on Schedule A of Q• I••••••••• (listed 2020-03-27, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Q• I••••••••• reported RAUM $1.3B, down 40% from $2.1B (2019-09-13 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • Jost Amanda Johnson (Cfo) no longer on Schedule A of Q• I••••••••• (listed 2019-03-29, absent 2019-09-13)
        Sep 13, 2019 · Control person left · inference
      • Lynne Rebecca Kiel (Cfo) appeared on Schedule A of Q• I•••••••••
        Sep 13, 2019 · Control person joined · fact
      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