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•• M••••••••• C•• G•• L••

Former SEC-registered adviserHouston, TexasCRD 160812SEC 801-74168IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$189M
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
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$189M gross assets
History
14 filings and snapshots on the tape
RAUM$189M as of Mar 29, 2019
Mar 28, 2013$1.0B then
HNW client RAUM$0 as of Mar 29, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)14 as of Mar 29, 2019
Mar 28, 201328 then
Private funds6 as of Mar 29, 2019
Mar 28, 201312 then
RAUM -45% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$31.4MderivedRAUM 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
-45%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
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)
  • 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$189M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q••••••• E••••• F••• I• C••••••••• • T•• L•••Private Equity Fund$53.1M2Feb 14, 2012
      Q••••••• E••••• P••••••• I•• L•••Private Equity Fund$52.5M46Feb 14, 2012
      Q••••••• E••••• F••• • D••• L•••no longer reportedPrivate Equity Fund$21.0M151Feb 14, 2012
      Q••••••• E••••• P•••••••• L•••Private Equity Fund$15.3M151Feb 14, 2012
      Q•• H•••••••• L•••Private Equity Fund$8.8M21Mar 31, 2014
      Q••••••• E••••• P••••••• I• • T•• L•••Private Equity Fund$5.3M4Feb 14, 2012
      Q••••••• E••••• F••• • T•• L•••Private Equity Fund$3.2M9Feb 14, 2012
      Q••••••• E••••• F••• T• • D••• L•••no longer reportedPrivate Equity Fund$3.1M9Feb 14, 2012
      Q••••••• E••••• F••• • F•• L•••Private Equity Fund$989,03913Feb 14, 2012
      Q••••••• E••••• F••• I• C••••••••• • C••••• L•••Private Equity Fund$707,37520Feb 14, 2012
      Q••••••• E••••• F••• I• C••••••••• • P•• N••• L•••no longer reportedPrivate Equity Fund$34,6092Feb 14, 2012
      Q••••••• E••••• F••• I• C••••••••• • P•• N•••• L•••no longer reportedPrivate Equity Fund$34,6092Feb 14, 2012
      Q••••••• E••••• F••• I• C••••••••• • P••• L•••no longer reportedPrivate Equity Fund$30,34110Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• E••• M••••• · Chief Compliance Officer & Secretarycontrol
        since 04/2015 · owns less than 5%
      • C••••••• P•••• J• · Chief Financial Officer & Managing Directorcontrol
        since 09/2018 · owns less than 5%
      • E••••• D•••••• L•••• · Member & Senior Partnercontrol
        since 12/2006 · owns 10% to 25%
      • H••••••• W•••••• S•••• · Senior Advisor & Managercontrol
        since 12/2006 · owns less than 5%
      • R••••••••• C•••••• J•••• · Member & Managing Partnercontrol
        since 12/2006 · owns 10% to 25%
      • R••••••••• C•••••• J•••• · Member & Managercontrol
        since 12/2006 · owns 10% to 25%
      • R••••••••• W••••••• K••• · Member & Managercontrol
        since 12/2006 · owns 10% to 25%
      • M•••••• C••••••••• R•••••••• · Member
        since 12/2006 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C• I•• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsornRAUM $1.9B
      • C••••• J• R••••••••• J••
        pooled vehicle sponsory
      • Q••••••• C•••••• G•••• G•• L•••
        pooled vehicle sponsorn
      • Q••••••• I••••••••• • D••••••••• L••
        pooled vehicle sponsorn
      Advisers that list Q•• M••••••••• C•• G•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Jul 2, 2018 to Mar 29, 2019
      • Advisory employees · 10 to 6
        Jul 2, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 8 to 6
        Jul 2, 2018 to Mar 29, 2019
      • Employees · 17 to 14
        Jul 2, 2018 to Mar 29, 2019
      • Private funds · 8 to 6
        Jul 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $341M to $189M
        Jul 2, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $341M to $189M
        Jul 2, 2018 to Mar 29, 2019
      • RAUM · $341M to $189M
        Jul 2, 2018 to Mar 29, 2019
      • Advisory employees · 11 to 10
        May 3, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 8.0
        May 3, 2017 to Mar 30, 2018
      • Employees · 20 to 17
        May 3, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Discretionary RAUM · $375M to $341M
        May 3, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        May 3, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 340580807.0
        May 3, 2017 to Mar 30, 2018
      • RAUM · $375M to $341M
        May 3, 2017 to Mar 30, 2018
      • Advisory employees · 12 to 11
        Apr 22, 2016 to Mar 31, 2017
      • Employees · 21 to 20
        Apr 22, 2016 to Mar 31, 2017
      • Discretionary RAUM · $339M to $375M
        Apr 22, 2016 to Mar 31, 2017
      • RAUM · $339M to $375M
        Apr 22, 2016 to Mar 31, 2017
      • Financial planning clients · 0 to unset
        Apr 14, 2015 to Mar 30, 2016
      • Discretionary RAUM · $700M to $339M
        Apr 14, 2015 to Mar 30, 2016
      • RAUM · $700M to $339M
        Apr 14, 2015 to Mar 30, 2016
      • Accounts · 11 to 8
        Jan 16, 2015 to Mar 31, 2015
      • Advisory employees · 15 to 12
        Jan 16, 2015 to Mar 31, 2015
      • Private funds · 11 to 8
        Jan 16, 2015 to Mar 31, 2015
      • Discretionary RAUM · $899M to $700M
        Jan 16, 2015 to Mar 31, 2015
      • RAUM · $899M to $700M
        Jan 16, 2015 to Mar 31, 2015
      • Accounts · 12 to 11
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 17 to 15
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · 1022348312.0 to unset
        Mar 28, 2013 to Mar 31, 2014
      • Custody of client assets · true to false
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 28 to 21
        Mar 28, 2013 to Mar 31, 2014
      Signals
      3 dated events
      • Q•• M••••••••• C•• G•• L•• reported RAUM $188.6M, down 45% from $340.6M (2018-07-02 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • J Paul Cornell (Chief Financial Officer & Managing Director) appeared on Schedule A of Q•• M••••••••• C•• G•• L••
        Mar 29, 2019 · Control person joined · fact
      • Lancaster Dwight Dunlap (Chief Financial Officer & Managing Director) no longer on Schedule A of Q•• M••••••••• C•• G•• L•• (listed 2018-07-02, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      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