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••••••• R••••••• P•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 160556SEC 801-73819IAPD
Latest filing Mar 30, 2023
First filing on the tape Feb 14, 2012 · 29 filings
RAUM
$47.0M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$5.5M gross assets
History
29 filings and snapshots on the tape
RAUM$47.0M as of Mar 30, 2023
Mar 28, 2013$702M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 28, 20130 then
Employees (5.A)0 as of Mar 30, 2023
Mar 28, 20130 then
Private funds5 as of Mar 30, 2023
Mar 28, 20133 then
RAUM -50% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$7.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%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
-50%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$6.0M, 6 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$46.5M99%
  • Charitable organizations$520,9511.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$6.0M for 6 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
      E••••• R••••••••• A•• R••••••••• F•••• L•••Private Equity Fund$2.8M33Feb 14, 2012
      E••••• R••••••••• A•• R••••••••• F• I• F••• L•••Private Equity Fund$1.2M5Feb 14, 2012
      E•• I• H•••••••• L•••Private Equity Fund$717,4551Mar 31, 2014
      E••••• R••••••••• A•• R••••••••• F• F••• L•••Private Equity Fund$457,9361Feb 14, 2012
      E•• M• H•••••••• L•••Private Equity Fund$313,9681Mar 31, 2014
      E•• P• H•••••••• L•••no longer reportedPrivate Equity Fund$13,9001Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• C••••• D•••• · Managercontrol
        since 02/2011 · owns less than 5%
      • H••••• J••• · Managercontrol
        since 02/2011 · owns less than 5%
      • H••••• R•••••• C••• · Manager And Ceocontrol
        since 02/2011 · owns less than 5%
      • S••••••• J•••••••• A• · Manager And Cfocontrol
        since 02/2011 · owns less than 5%
      • W•••••• C• J••• · Manager And Chairmancontrol
        since 02/2011 · owns less than 5%
      • C••••••• C••••• D•••• · Shareholdercontrol
        since 06/2011 · owns 75% or more of C•••••• E••••• C••••
      • C••••••• C••••• D•••• · Managercontrol
        since 02/2011 · owns F of C•••••• E••••• P••••••• I• L••
      • H••••• J••• · Manager And Membercontrol
        since 02/2011 · owns F of C•••••• E••••• P••••••• I• L••
      • H••••• R•••••• C••• · Manager And Membercontrol
        since 02/2011 · owns 25% to 50% of C•••••• E••••• P••••••• I• L••
      • W•••••• C• J••• · Membercontrol
        since 02/2011 · owns 75% or more of B•••••••• R•••••••• C•••••• L••
      • S•••••••• J•••••• J••••• · Cco
        since 05/2018 · owns less than 5%
      Entity owners
      • B•• E••••• P••••••• L•• · Member
        direct · owns 50% to 75%
      • C•••••• E••••• P••••••• I• L•• · Member
        direct · owns 50% to 75%
      • B•••••••• R•••••••• C•••••• L•• · Member
        indirect · owns 75% or more of B•• E••••• P••••••• L••
      • C•••••• E••••• C•••• · Member
        indirect · owns 50% to 75% of C•••••• E••••• P••••••• I• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $50.7M to $6.0M
        Jul 22, 2022 to Mar 30, 2023
      • Discretionary RAUM · $94.0M to $47.0M
        Jul 22, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $89.6M to $46.5M
        Jul 22, 2022 to Mar 30, 2023
      • RAUM · $94.0M to $47.0M
        Jul 22, 2022 to Mar 30, 2023
      • Assets in custody · $67.9M to $50.7M
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $111M to $94.0M
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $108M to $89.6M
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $111M to $94.0M
        Mar 31, 2021 to Mar 30, 2022
      • Charity clients · unset to 1.0
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 6 to 5
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $137M to $67.9M
        Mar 30, 2020 to Mar 31, 2021
      • Other offices · 1 to 0
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $180M to $111M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $180M to $108M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $180M to $111M
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $179M to $137M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $224M to $180M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $224M to $180M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $224M to $180M
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $189M to $179M
        May 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $282M to $224M
        May 24, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $282M to $224M
        May 24, 2018 to Mar 29, 2019
      • RAUM · $282M to $224M
        May 24, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $235M to $189M
        Mar 31, 2017 to Mar 29, 2018
      • HQ city · HOUSTON to DALLAS
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $342M to $282M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 281755477.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $342M to $282M
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $257M to $235M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $369M to $342M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $369M to $342M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 7 to 6
        Feb 24, 2016 to Mar 30, 2016
      • Assets in custody · $291M to $257M
        Feb 24, 2016 to Mar 30, 2016
      • Employees · 1 to 0
        Feb 24, 2016 to Mar 30, 2016
      • Private funds · 6 to 5
        Feb 24, 2016 to Mar 30, 2016
      • Discretionary RAUM · $678M to $369M
        Feb 24, 2016 to Mar 30, 2016
      • RAUM · $678M to $369M
        Feb 24, 2016 to Mar 30, 2016
      • Assets in custody · $315M to $291M
        Mar 31, 2015 to May 6, 2015
      Signals
      No event on the tape.
      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