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

C•••••••• C••••••

Former SEC-registered adviserHouston, TexasCRD 161211SEC 801-73654IAPD
Legal name C•••••••• C••••••• L••
Latest filing Mar 28, 2016
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$134M
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
9
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$160M gross assets
History
6 filings and snapshots on the tape
RAUM$134M as of Mar 28, 2016
Apr 1, 2013$348M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Apr 1, 20130 then
Employees (5.A)9 as of Mar 28, 2016
Apr 1, 20139 then
Private funds1 as of Mar 28, 2016
Apr 1, 20132 then
RAUM -67% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$134MderivedRAUM 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
-67%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, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$9.4M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.4M for 1 clientsreported
Compensation
% of AUM, performance, commissionsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••••• H•••••• F••• I• 2••• L•Real Estate Fund$445M7Feb 14, 2012
      C•••••••• A•••••••• F••• I• • 2••• L•Real Estate Fund$160M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• W••••••• B••••••• · Chief Acquisition Officercontrol
        since 12/2010 · owns 10% to 25%
      • H•••••• T•••• R•••••• · Chief Financial Officercontrol
        since 02/2012 · owns less than 5%
      • K•••• T•••••••• M• · Presidentcontrol
        since 12/2010 · owns 10% to 25%
      • B••••• W••••••• B••••••• · Membercontrol
        since 10/2011 · owns 25% to 50% of C• G•••• H•••••••
      • B••••• W••••••• B••••••• · Membercontrol
        since 11/2006 · owns 25% to 50% of W••• I•••••••• L••
      • B••••• W••••••• B••••••• · Membercontrol
        since 12/2010 · owns F of C•••••••• H••••••• L••
      • D•••••• M••••••• B•••• · Membercontrol
        since 10/2011 · owns 25% to 50% of D••••• C•••••• M••••••••• L••
      • K•••• T•••••••• M• · Membercontrol
        since 12/2010 · owns F of C•••••••• H••••••• L••
      • K•••• T•••••••• M• · Membercontrol
        since 10/2011 · owns 25% to 50% of C• G•••• H••••••• LLC
      • C••••••• M•••••• · Chief Compliance Officer
        since 08/2012 · owns less than 5%
      Entity owners
      • C• G•••• H••••••• · Member
        direct · owns 25% to 50%
      • C•••••••• H••••••• L•• · Member
        direct · owns 75% or more
      • W••• I•••••••• L•• · Member
        direct · owns 50% to 75%
      • C•••••••• C•••••• L•• · Member
        indirect · owns 25% to 50% of W••• I•••••••• L••
      • D••••• C•••••• M••••••••• L•• · Member
        indirect · owns 25% to 50% of C•••••••• A•••••••• F••• I•••••• G• L••
      Related persons
      Schedule D 7.A
      • C•••••••• A•••••••• F••• I•••••• G• L••
        pooled vehicle sponsorn
      • W••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 31, 2015 to Mar 28, 2016
      • Assets in custody · $18.8M to $9.4M
        Mar 31, 2015 to Mar 28, 2016
      • Private funds · 2 to 1
        Mar 31, 2015 to Mar 28, 2016
      • Discretionary RAUM · $408M to $134M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $408M to $134M
        Mar 31, 2015 to Mar 28, 2016
      • Assets in custody · $11.5M to $18.8M
        Mar 28, 2014 to Mar 31, 2015
      • HQ city · BETHESDA to HOUSTON
        Mar 28, 2014 to Mar 31, 2015
      • HQ state · MD to TX
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $394M to $408M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $394M to $408M
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · $7.1M to $11.5M
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $348M to $394M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $348M to $394M
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 9.0
        Sep 4, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Sep 4, 2012 to Apr 1, 2013
      • Assets in custody · $10.0M to $7.1M
        Sep 4, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Sep 4, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Sep 4, 2012 to Apr 1, 2013
      • Discretionary RAUM · $277M to $348M
        Sep 4, 2012 to Apr 1, 2013
      • RAUM · $277M to $348M
        Sep 4, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Across the graphs

      C•••••••• C•••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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