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
M•••• R••• C•••••• P•••••••• L••
Latest filing Mar 27, 2020
First filing on the tape Jun 24, 2013 · 8 filings
RAUM
$269M
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
$269M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$269M gross assets
History
8 filings and snapshots on the tape
RAUM$269M as of Mar 27, 2020
Mar 19, 2014$404M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 19, 20140 then
Employees (5.A)4 as of Mar 27, 2020
Mar 19, 20145 then
Private funds2 as of Mar 27, 2020
Mar 19, 20142 then
RAUM -38% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; every figure names its basis
- RAUM per advisor
- $269MderivedRAUM 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
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -38%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$269M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| J••• J•••• K• | Austin, Tx | Jul 18, 2022 | 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• R••• I••••••••• P•••••••• L• | Hedge Fund | $97.0M | 25 | Sep 11, 2012 |
| M•••• R••• I••••••••• P••••••• I•• L• | Hedge Fund | $43.0M | 5 | Sep 11, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•• J•••• J• · Managing Membercontrolsince 01/2012 · owns 75% or more
- M•••••• A••••••• G••••• · Coo/Cfo/Ccocontrolsince 06/2012 · owns less than 5%
Related persons
Schedule D 7.A
- M•••• R••• A•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 5 to 4Mar 25, 2019 to Mar 27, 2020
- Discretionary RAUM · $437M to $269MMar 25, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $437M to $269MMar 25, 2019 to Mar 27, 2020
- RAUM · $437M to $269MMar 25, 2019 to Mar 27, 2020
- Discretionary RAUM · $733M to $437MMar 23, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $733M to $437MMar 23, 2018 to Mar 25, 2019
- RAUM · $733M to $437MMar 23, 2018 to Mar 25, 2019
- Pooled vehicle clients · unset to 2.0Mar 24, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Mar 24, 2017 to Mar 23, 2018
- Discretionary RAUM · $1.1B to $733MMar 24, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 733242539.0Mar 24, 2017 to Mar 23, 2018
- RAUM · $1.1B to $733MMar 24, 2017 to Mar 23, 2018
- Discretionary RAUM · $1.0B to $1.1BMar 29, 2016 to Mar 24, 2017
- RAUM · $1.0B to $1.1BMar 29, 2016 to Mar 24, 2017
- Discretionary RAUM · $917M to $1.0BMar 24, 2015 to Mar 29, 2016
- RAUM · $917M to $1.0BMar 24, 2015 to Mar 29, 2016
- Discretionary RAUM · $404M to $917MMar 19, 2014 to Mar 24, 2015
- RAUM · $404M to $917MMar 19, 2014 to Mar 24, 2015
- Related bank · false to trueMar 19, 2014 to Mar 24, 2015
- Private funds · 4 to 2Jun 24, 2013 to Mar 19, 2014
- Discretionary RAUM · $286M to $404MJun 24, 2013 to Mar 19, 2014
- RAUM · $286M to $404MJun 24, 2013 to Mar 19, 2014
Signals
4 dated events
- M•••• R••• C•••••• P•••••••• L•• reported RAUM $268.7M, down 38% from $437.0M (2019-03-25 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- M•••• R••• C•••••• P•••••••• L•• reported RAUM $437.0M, down 40% from $733.2M (2018-03-23 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- M•••• R••• C•••••• P•••••••• L•• reported RAUM $733.2M, down 35% from $1.1B (2017-03-24 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- M•••• R••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M•••• R••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
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
- $269Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026