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
N••••••• C•••••• P•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 15, 2012
RAUM
$544M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$272M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$544M as of Mar 26, 2026
Mar 27, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20130 then
Employees (5.A)8 as of Mar 26, 2026
Mar 27, 201312 then
Private funds6 as of Mar 26, 2026
Mar 27, 20132 then
RAUM -33% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
- RAUM per advisor
- $272MderivedRAUM 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
- $90.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%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
- Custody
- $267M, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$544M100%
- 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
- $267M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• P• C••••••• | Dallas, Tx | Jul 2, 2014 | 20 y | 0 |
| J••• C•••••• R•••••• | Dallas, Tx | Jul 2, 2014 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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 |
|---|---|---|---|---|
| N••••••• C•••••• P••••••• I•••• L• | Private Equity Fund | $306M | 10 | Mar 29, 2019 |
| N••••••• C•••••• P••••••• I••••• L••• | Private Equity Fund | $187M | 10 | Mar 31, 2017 |
| N••••••• C•••••• P••••••• I•• L• | Private Equity Fund | $187M | 27 | Mar 29, 2019 |
| N••••••• C•••••• P••••••• I••• L••• | Private Equity Fund | $125M | 28 | Mar 31, 2017 |
| N••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $49.5M | 60 | Feb 14, 2012 |
| N••••••• C•••••• P••••••• I••••• L••• | Private Equity Fund | $6.9M | 6 | Mar 31, 2017 |
| N••••••• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $3.1M | 68 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• T••••••• M•••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 02/2017 · owns less than 5%
- C•••••••• T••••••• P• · Co-Founder And Managing Directorcontrolsince 04/2006 · owns 50% to 75%
- R••••••• J•••• C•••••• · Co-Founder And Managing Directorcontrolsince 04/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
- N••••••• P••••••• I•• L•••pooled vehicle sponsorn
- N••••••• P••••••• I••• L•••pooled vehicle sponsorn
- N••••••• P••••••• I•• L•pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $808,774,000 to $544,480,000 (-33.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was +8.0% (672 comparable advisers, 6.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 5.5% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 26, 2026 to Sep 1, 2026
- Private funds · 6 to unsetMar 26, 2026 to Sep 1, 2026
- Succession · false to unsetMar 26, 2026 to Sep 1, 2026
- Advisory employees · 8 to 5Mar 26, 2025 to Mar 26, 2026
- Assets in custody · $527M to $267MMar 26, 2025 to Mar 26, 2026
- Employees · 11 to 8Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $809M to $544MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $809M to $544MMar 26, 2025 to Mar 26, 2026
- RAUM · $809M to $544MMar 26, 2025 to Mar 26, 2026
- Advisory employees · 11 to 8Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $861M to $527MMar 28, 2024 to Mar 26, 2025
- Employees · 14 to 11Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.1B to $809MMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.1B to $809MMar 28, 2024 to Mar 26, 2025
- RAUM · $1.1B to $809MMar 28, 2024 to Mar 26, 2025
- Advisory employees · 12 to 11Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.0B to $861MMar 30, 2023 to Mar 28, 2024
- Employees · 15 to 14Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.1BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $1.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.1BMar 30, 2023 to Mar 28, 2024
- Advisory employees · 11 to 12Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $995M to $1.0BMar 31, 2022 to Mar 30, 2023
- Employees · 14 to 15Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.3BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $1.3BMar 31, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.3BMar 31, 2022 to Mar 30, 2023
- Assets in custody · $1.3B to $995MMar 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.0B to $1.7BMar 26, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.0B to $1.7BMar 26, 2021 to Mar 31, 2022
- RAUM · $2.0B to $1.7BMar 26, 2021 to Mar 31, 2022
- Advisory employees · 10 to 11Mar 18, 2020 to Mar 26, 2021
- Assets in custody · $1.2B to $1.3BMar 18, 2020 to Mar 26, 2021
- Employees · 13 to 14Mar 18, 2020 to Mar 26, 2021
- Discretionary RAUM · $2.0B to $2.0BMar 18, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $2.0B to $2.0BMar 18, 2020 to Mar 26, 2021
- RAUM · $2.0B to $2.0BMar 18, 2020 to Mar 26, 2021
- Accounts · 7 to 6Mar 29, 2019 to Mar 18, 2020
- Pooled vehicle clients · 7 to 6Mar 29, 2019 to Mar 18, 2020
Signals
3 dated events
- N••••••• C•••••• P•••••••• L•• reported RAUM $544.5M, down 33% from $808.8M (2025-03-26 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- N••••••• C•••••• P•••••••• L•• reported RAUM $808.8M, down 26% from $1.1B (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- N••••••• C•••••• P•••••••• L•• reported RAUM $2.0B, up 56% from $1.3B (2019-03-29 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N••••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- N•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-753-4300reportedpublic record, Form ADV, Sep 1, 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
- $272Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026