DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
A•• C••••••••• F•••• L•
Latest filing Jan 16, 2026
First filing on the tape Jun 20, 2012 · 24 filings
SEC status approved since Jun 29, 2012
RAUM
$15.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$15.2M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$15.2M as of Jan 16, 2026
Apr 1, 2013$30.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 16, 2026
Apr 1, 20130 then
Employees (5.A)2 as of Jan 16, 2026
Apr 1, 20134 then
Private funds1 as of Jan 16, 2026
Apr 1, 20131 then
RAUM -15% over the last fiscal year-48% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
- RAUM per advisor
- $15.2MderivedRAUM 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
- $7.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%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
- $15.2M, 2 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$15.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.2M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• B••••••Chartered Financial Analyst | Dallas, Tx | Aug 18, 2026 | 14 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• A••••• L• | Hedge Fund | $89.2M | 14 | Jun 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• V••••• · Chief Investment Officer, Limited Partnercontrolsince 03/2012 · owns 50% to 75%
- B••••••• V••••• · Membercontrolsince 03/2012 · owns 75% or more of S••••••• L••
- M••••• S•••• D••• · Chief Compliance Officer And Chief Financial Officersince 01/2024 · owns less than 5%
Entity owners
- S••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · S•••••• C••••••• L• to A•• C••••••••• F•••• L•Mar 31, 2025 to Jan 16, 2026
- Assets in custody · $17.8M to $15.2MMar 31, 2025 to Jan 16, 2026
- State-registered IARs · 0 to 1Mar 31, 2025 to Jan 16, 2026
- Discretionary RAUM · $17.8M to $15.2MMar 31, 2025 to Jan 16, 2026
- Pooled vehicle RAUM · $17.8M to $15.2MMar 31, 2025 to Jan 16, 2026
- RAUM · $17.8M to $15.2MMar 31, 2025 to Jan 16, 2026
- Advisory employees · 2 to 1Mar 26, 2024 to Mar 31, 2025
- Assets in custody · $89.2M to $17.8MMar 26, 2024 to Mar 31, 2025
- Employees · 3 to 2Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 31, 2025
- HQ city · DALLAS to Mar 26, 2024 to Mar 31, 2025
- HQ state · TX to Mar 26, 2024 to Mar 31, 2025
- Legal name · S•••••• C••••••• L• to A•• C••••••••• F•••• L•Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $104M to $17.8MMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $104M to $17.8MMar 26, 2024 to Mar 31, 2025
- RAUM · $104M to $17.8MMar 26, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 23, 2023 to Mar 26, 2024
- Assets in custody · $109M to $89.2MMar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $109M to $104MMar 23, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $109M to $104MMar 23, 2023 to Mar 26, 2024
- RAUM · $109M to $104MMar 23, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Nov 2, 2022 to Mar 23, 2023
- Assets in custody · $174M to $109MNov 2, 2022 to Mar 23, 2023
- Employees · 4 to 3Nov 2, 2022 to Mar 23, 2023
- Discretionary RAUM · $174M to $109MNov 2, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $174M to $109MNov 2, 2022 to Mar 23, 2023
- RAUM · $174M to $109MNov 2, 2022 to Mar 23, 2023
- Assets in custody · $179M to $174MFeb 25, 2022 to Apr 29, 2022
- Discretionary RAUM · $179M to $174MFeb 25, 2022 to Apr 29, 2022
- Pooled vehicle RAUM · $179M to $174MFeb 25, 2022 to Apr 29, 2022
- RAUM · $179M to $174MFeb 25, 2022 to Apr 29, 2022
- Advisory employees · 2 to 4Jun 18, 2021 to Feb 25, 2022
- Business name · H• S•••••• C••••••• L• to S•••••• C••••••• L•Jun 18, 2021 to Feb 25, 2022
- Assets in custody · $176M to $179MJun 18, 2021 to Feb 25, 2022
- Employees · 2 to 4Jun 18, 2021 to Feb 25, 2022
- Legal name · H• S•••••• C••••••• L• to S•••••• C••••••• L•Jun 18, 2021 to Feb 25, 2022
- Discretionary RAUM · $176M to $179MJun 18, 2021 to Feb 25, 2022
- Pooled vehicle RAUM · $176M to $179MJun 18, 2021 to Feb 25, 2022
- RAUM · $176M to $179MJun 18, 2021 to Feb 25, 2022
- Accounts · 3 to 2Mar 4, 2020 to Feb 10, 2021
Signals
4 dated events
- A•• C••••••••• F•••• L• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $15.2M)Sep 1, 2026 · Left the SEC roster · derived
- Matthew Hunter Brown (President & Chief Operating Officer) no longer on Schedule A of A•• C••••••••• F•••• L• (listed 2022-02-25, absent 2022-04-29)Apr 29, 2022 · Control person left · inference
- Matthew Hunter Brown (President & Chief Operating Officer) appeared on Schedule A of A•• C••••••••• F•••• L•Jun 18, 2021 · Control person joined · fact
- P••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 20, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ams-opportunitiesreportedpublic record, Form ADV, Sep 21, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026