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

F••••• E• • P• O••••••••• G•• L••

Former SEC-registered adviserDallas, TexasCRD 161514SEC 801-73662IAPD
Latest filing Mar 30, 2019
First filing on the tape Feb 14, 2012 · 21 filings
RAUM
$74.1M
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
1
$57.1M gross assets
History
21 filings and snapshots on the tape
RAUM$74.1M as of Mar 30, 2019
Apr 1, 2013$166M then
HNW client RAUM$0 as of Mar 30, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2019
Apr 1, 20130 then
Employees (5.A)0 as of Mar 30, 2019
Apr 1, 201310 then
Private funds1 as of Mar 30, 2019
Apr 1, 20131 then
RAUM -20% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$74.1MderivedRAUM 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
-20%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
$57.1M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$74.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$57.1M for 1 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    F••••• E•• O••••••••• F•••• L•••Private Equity Fund$25.3M69Feb 14, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• W••••••• L••• · Membercontrol
      since 02/2012 · owns less than 5%
    • C•••••••• A•••••• N•••••• · Chief Compliance Officercontrol
      since 12/2017 · owns less than 5%
    • E••••• D••••••• R• · Membercontrol
      since 02/2012 · owns less than 5%
    • R•••••••• R••••••• D• · Membercontrol
      since 02/2012 · owns less than 5%
    • S••••• J•••• R•••••• · Membercontrol
      since 02/2012 · owns less than 5%
    • D••••••• J••••• D•••• · Shareholdercontrol
      since 02/2011 · owns 75% or more of H••••••• C•••••• M••••••••• S•••••••• I••.
    • E••••• D••••••• R• · Membercontrol
      since 02/2012 · owns 25% to 50% of P••••••• M••••••••• C••••••• L••
    • O••••• M•••• K•••••• · Shareholdercontrol
      since 02/2011 · owns 25% to 50% of H••••••• C•••••• M••••••••• S•••••••• I••.
    • R•••••••• R••••••• D• · Membercontrol
      since 02/2012 · owns 25% to 50% of P••••••• M••••••••• C••••••• L••
    Entity owners
    • H••• F•••••• L• · Member
      direct · owns 50% to 75%
    • P••••••• M••••••••• C••••••• L•• · L•••••• Liability Company
      direct · owns 25% to 50%
    • H••• F••••• G•• L•• · Member
      indirect · owns F of H••• F•••••• L•
    • H••••••• C•••••• M••••••••• S•••••••• I•• · Member
      indirect · owns 75% or more of H••• F•••••, Gp, LLC, H••• F•••••• L•
    Related persons
    Schedule D 7.A
    Advisers that list F••••• E• • P• O••••••••• G•• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · $75.8M to $57.1M
      Mar 30, 2018 to Mar 30, 2019
    • Discretionary RAUM · $92.9M to $74.1M
      Mar 30, 2018 to Mar 30, 2019
    • Pooled vehicle RAUM · $92.9M to $74.1M
      Mar 30, 2018 to Mar 30, 2019
    • RAUM · $92.9M to $74.1M
      Mar 30, 2018 to Mar 30, 2019
    • Assets in custody · $77.3M to $75.8M
      Dec 22, 2017 to Mar 30, 2018
    • Financial planning clients · 0 to unset
      Dec 22, 2017 to Mar 30, 2018
    • Discretionary RAUM · $94.0M to $92.9M
      Dec 22, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · $94.0M to $92.9M
      Dec 22, 2017 to Mar 30, 2018
    • RAUM · $94.0M to $92.9M
      Dec 22, 2017 to Mar 30, 2018
    • Charity clients · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Corporate clients · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • HNW clients · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Individual clients · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Pension plan clients · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Pooled vehicle clients · unset to 1.0
      Apr 5, 2017 to Dec 22, 2017
    • Assets in custody · $259M to $77.3M
      Apr 5, 2017 to Dec 22, 2017
    • Other offices · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Discretionary RAUM · $259M to $94.0M
      Apr 5, 2017 to Dec 22, 2017
    • HNW RAUM · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Individual RAUM · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Pension RAUM · unset to 0.0
      Apr 5, 2017 to Dec 22, 2017
    • Pooled vehicle RAUM · unset to 93971305.0
      Apr 5, 2017 to Dec 22, 2017
    • RAUM · $259M to $94.0M
      Apr 5, 2017 to Dec 22, 2017
    • Assets in custody · $163M to $259M
      Jan 25, 2016 to Feb 7, 2017
    • Discretionary RAUM · $163M to $259M
      Jan 25, 2016 to Feb 7, 2017
    • RAUM · $163M to $259M
      Jan 25, 2016 to Feb 7, 2017
    • Advisory employees · 7 to 0
      Dec 3, 2015 to Jan 25, 2016
    • Assets in custody · $108M to $163M
      Dec 3, 2015 to Jan 25, 2016
    • Employees · 13 to 0
      Dec 3, 2015 to Jan 25, 2016
    • Discretionary RAUM · $108M to $163M
      Dec 3, 2015 to Jan 25, 2016
    • RAUM · $108M to $163M
      Dec 3, 2015 to Jan 25, 2016
    • Assets in custody · $113M to $108M
      Mar 30, 2015 to May 27, 2015
    • Discretionary RAUM · $113M to $108M
      Mar 30, 2015 to May 27, 2015
    • RAUM · $113M to $108M
      Mar 30, 2015 to May 27, 2015
    • Assets in custody · $155M to $113M
      May 6, 2014 to Mar 30, 2015
    • Employees · 10 to 13
      May 6, 2014 to Mar 30, 2015
    • Discretionary RAUM · $155M to $113M
      May 6, 2014 to Mar 30, 2015
    • RAUM · $155M to $113M
      May 6, 2014 to Mar 30, 2015
    • Related bank · false to true
      May 6, 2014 to Mar 30, 2015
    • Advisory employees · 6 to 7
      Apr 9, 2013 to Mar 31, 2014
    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