DFX Intelligence

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C••••••• S••••••• I••••••••• A•••••••• I•••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· Houston, Texas

Asset manager (funds and pooled vehicles), based in Houston, Texas, reporting $308M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $308M
Advisors: 0
RAUM change, 1 year: +10.0%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, 2 control persons joined and 2 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 164325 · SEC 801-76865 · 20 filingsShow

CRD 164325SEC 801-76865First filing on the tape Jun 27, 2012, latest Mar 27, 2026SEC status approved since Jul 18, 2012IAPD

RAUM

$308M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM +7.5% a year over three years · the tape starts Jun 27, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$308M as of Mar 27, 2026

Apr 1, 2013$160M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Apr 1, 20130 then

Employees (5.A)4 as of Mar 27, 2026

Apr 1, 20135 then

Private funds1 as of Mar 27, 2026

Apr 1, 20131 then

RAUM +10.0% over the last fiscal year+7.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $2.5MderivedRAUM 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: +10.0%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 assetsreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, otherreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$278M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 124reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••• P•••••• F•••• L••	Other Private Fund	$278M	108	Jun 27, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• T•••••• ••••••• · Chief Compliance Officercontrol
since 12/2022 · owns less than 5%
G••••••••• L••••• K••• · Treasurercontrol
since 04/2023 · owns less than 5%
Q••••••• C••••• · Presidentcontrol
since 02/2024 · owns less than 5%

Entity owners

C••••••• S•••••••• I••• · Sole Stockholder
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 134 to 124
Jul 9, 2025 to Mar 27, 2026
Advisory employees · 4 to 2
Jul 9, 2025 to Mar 27, 2026
Employees · 5 to 4
Jul 9, 2025 to Mar 27, 2026
Discretionary RAUM · $280M to $308M
Jul 9, 2025 to Mar 27, 2026
Non-discretionary RAUM · $543,775 to $533,745
Jul 9, 2025 to Mar 27, 2026

Full history · 80 changes

Pooled vehicle RAUM · $254M to $278M
Jul 9, 2025 to Mar 27, 2026
RAUM · $280M to $308M
Jul 9, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
Mar 14, 2025 to Jul 9, 2025
Accounts · 140 to 134
Sep 9, 2024 to Mar 14, 2025
Employees · 6 to 5
Sep 9, 2024 to Mar 14, 2025
Discretionary RAUM · $272M to $280M
Sep 9, 2024 to Mar 14, 2025
Non-discretionary RAUM · $955,576 to $543,775
Sep 9, 2024 to Mar 14, 2025
Pooled vehicle RAUM · $255M to $254M
Sep 9, 2024 to Mar 14, 2025
RAUM · $273M to $280M
Sep 9, 2024 to Mar 14, 2025
Accounts · 132 to 140
May 2, 2023 to Mar 28, 2024
Employees · 5 to 6
May 2, 2023 to Mar 28, 2024
Discretionary RAUM · $245M to $272M
May 2, 2023 to Mar 28, 2024
Non-discretionary RAUM · $3.4M to $955,576
May 2, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $229M to $255M
May 2, 2023 to Mar 28, 2024
RAUM · $248M to $273M
May 2, 2023 to Mar 28, 2024
Accounts · 139 to 132
Mar 28, 2022 to Mar 13, 2023
Discretionary RAUM · $267M to $245M
Mar 28, 2022 to Mar 13, 2023
Non-discretionary RAUM · $661,500 to $3.4M
Mar 28, 2022 to Mar 13, 2023
Pooled vehicle RAUM · $250M to $229M
Mar 28, 2022 to Mar 13, 2023
RAUM · $267M to $248M
Mar 28, 2022 to Mar 13, 2023
Accounts · 141 to 139
Mar 24, 2021 to Mar 28, 2022
Discretionary RAUM · $240M to $267M
Mar 24, 2021 to Mar 28, 2022
Non-discretionary RAUM · $1.7M to $661,500
Mar 24, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $227M to $250M
Mar 24, 2021 to Mar 28, 2022
RAUM · $242M to $267M
Mar 24, 2021 to Mar 28, 2022
Advisory employees · 5 to 4
Apr 28, 2020 to Mar 24, 2021
Employees · 6 to 5
Apr 28, 2020 to Mar 24, 2021
Discretionary RAUM · $216M to $240M
Apr 28, 2020 to Mar 24, 2021
Non-discretionary RAUM · $2.6M to $1.7M
Apr 28, 2020 to Mar 24, 2021
Pooled vehicle RAUM · $181M to $227M
Apr 28, 2020 to Mar 24, 2021
RAUM · $219M to $242M
Apr 28, 2020 to Mar 24, 2021
Accounts · 192 to 141
Jul 25, 2019 to Apr 28, 2020
Advisory employees · 4 to 5
Jul 25, 2019 to Apr 28, 2020
Employees · 5 to 6
Jul 25, 2019 to Apr 28, 2020
Discretionary RAUM · $174M to $216M
Jul 25, 2019 to Apr 28, 2020
Non-discretionary RAUM · $3.0M to $2.6M
Jul 25, 2019 to Apr 28, 2020
Pooled vehicle RAUM · $158M to $181M
Jul 25, 2019 to Apr 28, 2020
RAUM · $177M to $219M
Jul 25, 2019 to Apr 28, 2020
Accounts · 4 to 192
Mar 30, 2018 to Mar 22, 2019
Discretionary RAUM · $199M to $174M
Mar 30, 2018 to Mar 22, 2019
Non-discretionary RAUM · $0 to $3.0M
Mar 30, 2018 to Mar 22, 2019
Pooled vehicle RAUM · $186M to $158M
Mar 30, 2018 to Mar 22, 2019
RAUM · $199M to $177M
Mar 30, 2018 to Mar 22, 2019
Accounts · 5 to 4
Mar 15, 2017 to Mar 30, 2018
Pooled vehicle clients · unset to 1.0
Mar 15, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 15, 2017 to Mar 30, 2018
Discretionary RAUM · $191M to $199M
Mar 15, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 186442914.0
Mar 15, 2017 to Mar 30, 2018
RAUM · $191M to $199M
Mar 15, 2017 to Mar 30, 2018
Accounts · 6 to 5
Mar 29, 2016 to Mar 15, 2017
Discretionary RAUM · $175M to $191M
Mar 29, 2016 to Mar 15, 2017
RAUM · $175M to $191M
Mar 29, 2016 to Mar 15, 2017
Accounts · 4 to 6
Jun 10, 2015 to Mar 29, 2016
Financial planning clients · 1-10 to 0
Jun 10, 2015 to Mar 29, 2016
Discretionary RAUM · $181M to $175M
Jun 10, 2015 to Mar 29, 2016
RAUM · $181M to $175M
Jun 10, 2015 to Mar 29, 2016
Accounts · 13 to 4
Mar 29, 2014 to Mar 30, 2015
Advisory employees · 3 to 4
Mar 29, 2014 to Mar 30, 2015
Employees · 4 to 5
Mar 29, 2014 to Mar 30, 2015
Financial planning clients · 11-25 to 1-10
Mar 29, 2014 to Mar 30, 2015
Discretionary RAUM · $175M to $181M
Mar 29, 2014 to Mar 30, 2015
RAUM · $175M to $181M
Mar 29, 2014 to Mar 30, 2015
Accounts · 1 to 13
Apr 1, 2013 to Mar 29, 2014
Advisory employees · 4 to 3
Apr 1, 2013 to Mar 29, 2014
Advisory activities · 1 to 2
Apr 1, 2013 to Mar 29, 2014
Employees · 5 to 4
Apr 1, 2013 to Mar 29, 2014
Financial planning clients · unset to 11-25
Apr 1, 2013 to Mar 29, 2014
Discretionary RAUM · $160M to $175M
Apr 1, 2013 to Mar 29, 2014
RAUM · $160M to $175M
Apr 1, 2013 to Mar 29, 2014
Advisory employees · unset to 4.0
Jun 27, 2012 to Apr 1, 2013
BD registered reps · unset to 0.0
Jun 27, 2012 to Apr 1, 2013
Employees · unset to 5.0
Jun 27, 2012 to Apr 1, 2013
State-registered IARs · unset to 0.0
Jun 27, 2012 to Apr 1, 2013
Discretionary RAUM · $114M to $160M
Jun 27, 2012 to Apr 1, 2013
RAUM · $114M to $160M
Jun 27, 2012 to Apr 1, 2013

Signals

16 dated events

••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Mar 27, 2026 · Control person joined · fact
••• Locked
Mar 27, 2026 · Control person joined · fact

Full timeline · 16 events

••• Locked
Mar 27, 2026 · ria principal change · fact
••• Locked
Mar 28, 2024 · Control person joined · fact
••• Locked
Mar 28, 2024 · Control person left · inference
••• Locked
May 2, 2023 · Control person joined · fact
••• Locked
Mar 13, 2023 · Control person joined · fact
••• Locked
Mar 13, 2023 · Control person joined · fact
••• Locked
Mar 13, 2023 · Control person left · inference
••• Locked
Mar 13, 2023 · Control person left · inference
••• Locked
Jul 25, 2019 · Control person left · inference
••• Locked
Jul 25, 2019 · Control person joined · fact
••• Locked
Jun 27, 2012 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••••• S••••••• I••••••••• A•••••••• I••• · Independent Sponsors
shared crd · capital_provider

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.