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
T•••• A•••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Nov 17, 2011 · 24 filings
SEC status approved since May 25, 2011
RAUM
$7.0B
reported, Item 5.F
Discretionary
0.0%
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
76
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$7.0B as of Mar 26, 2026
Mar 27, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 27, 20120 then
Employees (5.A)76 as of Mar 26, 2026
Mar 27, 20132 then
Private funds7 as of Mar 26, 2026
Mar 30, 20153 then
RAUM +15% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 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
- $7.0BderivedRAUM 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
- $4.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 76.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.8B97%
- Banks and thrifts$201M2.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,590reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• M••••••••• L••••• | Other Private Fund | $2.0B | 1 | Mar 30, 2015 |
| N••• T•••• R••••• P•••••••• C•••• L•• | Other Private Fund | $1.0B | 1 | Oct 25, 2017 |
| C•••••••• P••••••• L••••• | Other Private Fund | $885M | 1 | Mar 30, 2015 |
| M••••••••• G••••• F•••• L•• | Other Private Fund | $526M | 1 | Nov 29, 2016 |
| T•••••• P••••••• L••••• | Other Private Fund | $461M | 1 | Sep 20, 2019 |
| A•••• P•••••••• C•••• L••••• | Other Private Fund | $352M | 1 | Mar 30, 2015 |
| M••••••••• I••••• F•••• L•• | Other Private Fund | $79.1M | 1 | Nov 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••• E•••••• H•••••• · Director, President And Treasurercontrolsince 06/2014 · owns less than 5%
- B•••••• S••• · Directorcontrolsince 05/2017 · owns less than 5%
- H••••• K••••••• C••••• · Director, Vice President, Chief Compliance Officer, And Secretarycontrolsince 10/2017 · owns less than 5%
- S••••••• S••••••• R•• · Director And Vice Presidentcontrolsince 06/2014 · owns less than 5%
- T•••••••• R•••••• · Chief Information Security Officercontrolsince 01/2020 · owns less than 5%
- W•••• S••••••• L• · Directorcontrolsince 01/2024 · owns less than 5%
Entity owners
- S•• F•••••• S•••••••• L•• · Shareholderdirect · owns 75% or more
- S•••••• C••••••••• I••••••••• · Shareholderindirect · owns 75% or more of S•• F•••••• S•••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- I•••••••• T••••• I•••n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,470 to 1,590Mar 26, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $6.1B to $7.0BMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $5.9B to $6.8BMar 26, 2025 to Mar 26, 2026
- RAUM · $6.1B to $7.0BMar 26, 2025 to Mar 26, 2026
- Accounts · 1,347 to 1,470Mar 22, 2024 to Mar 26, 2025
- Employees · 83 to 76Mar 22, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.5B to $6.1BMar 22, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $5.4B to $5.9BMar 22, 2024 to Mar 26, 2025
- RAUM · $5.5B to $6.1BMar 22, 2024 to Mar 26, 2025
- Accounts · 1,352 to 1,347May 8, 2023 to Mar 22, 2024
- Employees · 78 to 83May 8, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $4.8B to $5.5BMay 8, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $4.7B to $5.4BMay 8, 2023 to Mar 22, 2024
- RAUM · $4.8B to $5.5BMay 8, 2023 to Mar 22, 2024
- Accounts · 1,546 to 1,352Mar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $5.6B to $4.8BMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $5.5B to $4.7BMar 30, 2022 to Mar 28, 2023
- RAUM · $5.6B to $4.8BMar 30, 2022 to Mar 28, 2023
- Employees · 80 to 78Mar 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $5.0B to $5.6BMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $4.9B to $5.5BMar 29, 2021 to Mar 30, 2022
- RAUM · $5.0B to $5.6BMar 29, 2021 to Mar 30, 2022
- Accounts · 1,702 to 1,546Mar 27, 2020 to Mar 29, 2021
- Employees · 57 to 80Mar 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $4.4B to $5.0BMar 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $4.4B to $4.9BMar 27, 2020 to Mar 29, 2021
- RAUM · $4.4B to $5.0BMar 27, 2020 to Mar 29, 2021
- Accounts · 1,763 to 1,702Sep 20, 2019 to Mar 27, 2020
- Pooled vehicle clients · 6 to 7Sep 20, 2019 to Mar 27, 2020
- Employees · 56 to 57Sep 20, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $4.1B to $4.4BSep 20, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $3.8B to $4.4BSep 20, 2019 to Mar 27, 2020
- RAUM · $4.1B to $4.4BSep 20, 2019 to Mar 27, 2020
- Private funds · 6 to 7Mar 28, 2019 to Sep 20, 2019
- Accounts · 1,615 to 1,763Mar 29, 2018 to Mar 28, 2019
- Employees · 58 to 56Mar 29, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $4.1B to $4.1BMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $3.7B to $3.8BMar 29, 2018 to Mar 28, 2019
- RAUM · $4.1B to $4.1BMar 29, 2018 to Mar 28, 2019
Signals
5 dated events
- Li S•••••• W••• (Director) appeared on Schedule A of T•••• A•••••••• I•••Mar 22, 2024 · Control person joined · fact
- G•••• B•••• (Director) no longer on Schedule A of T•••• A•••••••• I••• (listed 2023-05-08, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- G•••• B•••• (Director) appeared on Schedule A of T•••• A•••••••• I•••Mar 29, 2021 · Control person joined · fact
- S••• B••••• (Director) appeared on Schedule A of T•••• A•••••••• I•••Mar 29, 2021 · Control person joined · fact
- R•••••• T••••••• (Chief Information Security Officer) appeared on Schedule A of T•••• A•••••••• I•••Mar 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- T•••• A•••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- (713) 525-7607reportedpublic record, Form ADV, Mar 26, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026