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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P•••• P•••• F••••

Former SEC-registered adviserFarmers Branch, TexasCRD 159237SEC 801-73361IAPD
Legal name P•••• P•••• G••••••••• I••••••••• F•••• L••
Latest filing Mar 31, 2021
First filing on the tape Feb 13, 2012 · 14 filings
RAUM
$20.6M
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
20
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$20.6M gross assets
History
14 filings and snapshots on the tape
RAUM$20.6M as of Mar 31, 2021
Apr 1, 2013$479M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)20 as of Mar 31, 2021
Apr 1, 201335 then
Private funds6 as of Mar 31, 2021
Apr 1, 20132 then
RAUM -96% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$2.6MderivedRAUM 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
-96%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-based, otherreportedItem 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$20.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• P•••• F••• I• A• L•••Private Equity Fund$12.4M9Mar 31, 2014
      P•••• P•••• F••• I• B• L•••Private Equity Fund$5.7M10Mar 31, 2014
      P•••• P•••• G••••••••• I••••••••• F••• A• L•Private Equity Fund$5.1M4Feb 13, 2012
      P•••• P•••• A•••• F••• A• L•••Private Equity Fund$610,9569Mar 30, 2016
      P•••• P•••• A•••• F••• B• L•••Private Equity Fund$398,71111Mar 30, 2016
      P•••• P•••• G••••••••• I••••••••• F••• B• ••••• L•Private Equity Fund$306,2835Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R•••••• W•••••• · Member, Managing Partner, Chairman, Chief Compliance Officercontrol
        since 03/2020 · owns 75% or more
      • C•••••• T•••• W•••••••• · Member, Chief Executive Officer, Senior Partner, Presidentcontrol
        since 04/2020 · owns 10% to 25%
      • T••••••• M••••••• A••••• · Chief Executive Officer, Chief Financial Officer, Chief Risk Officercontrol
        since 11/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • P•••• P•••• A•••• F••• G•• L•••
        pooled vehicle sponsorn
      • P•••• P•••• F••• I• G•• L•••
        pooled vehicle sponsorn
      • P•••• P•••• G••••••••• I••••••••• F••• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 28 to 20
        Oct 14, 2020 to Mar 31, 2021
      • HQ city · DALLAS to FARMERS BRANCH
        Oct 14, 2020 to Mar 31, 2021
      • Discretionary RAUM · $495M to $20.6M
        Oct 14, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $495M to $20.6M
        Oct 14, 2020 to Mar 31, 2021
      • RAUM · $495M to $20.6M
        Oct 14, 2020 to Mar 31, 2021
      • Advisory employees · 15 to 12
        Jul 3, 2019 to Mar 27, 2020
      • Employees · 38 to 28
        Jul 3, 2019 to Mar 27, 2020
      • Discretionary RAUM · $812M to $495M
        Jul 3, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $812M to $495M
        Jul 3, 2019 to Mar 27, 2020
      • RAUM · $812M to $495M
        Jul 3, 2019 to Mar 27, 2020
      • Employees · 39 to 38
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $949M to $812M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $949M to $812M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $949M to $812M
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 18 to 15
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 8.0
        Mar 31, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 62 to 39
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.3B to $949M
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 949084086.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $1.3B to $949M
        Mar 31, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.9B to $1.3B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $1.9B to $1.3B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 6 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 55 to 18
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 56 to 62
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 4 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.6B to $1.9B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $1.9B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 6
        Mar 31, 2014 to Mar 31, 2015
      Signals
      10 dated events
      • P•••• P•••• F•••• reported RAUM $20.6M, down 96% from $494.8M (2020-10-14 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Chalmers William Nordlund (Member, Partner) no longer on Schedule A of P•••• P•••• F•••• (listed 2020-10-14, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • P•••• P•••• F•••• reported RAUM $494.8M, down 39% from $812.1M (2019-07-03 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • P Robert O'Connell (Chief Compliance Officer) no longer on Schedule A of P•••• P•••• F•••• (listed 2019-07-03, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Chalmers William Nordlund (Member, Partner) appeared on Schedule A of P•••• P•••• F••••
        Mar 27, 2020 · Control person joined · fact
      • Dan Edmund Daniels (Chief Legal Officer, Chief Compliance Officer, Managing Director, General Counsel) no longer on Schedule A of P•••• P•••• F•••• (listed 2019-03-29, absent 2019-07-03)
        Jul 3, 2019 · Control person left · inference
      • P Robert O'Connell (Chief Compliance Officer) appeared on Schedule A of P•••• P•••• F••••
        Jul 3, 2019 · Control person joined · fact
      • Chalmers William Nordlund (Member, Partner) no longer on Schedule A of P•••• P•••• F•••• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Anthony Derek Porter (Chief Operating Officer) no longer on Schedule A of P•••• P•••• F•••• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • P•••• P•••• F•••• reported RAUM $949.1M, down 27% from $1.3B (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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