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
I•••••••• C•••••• M••••••••• L••
Latest filing Jun 27, 2024
First filing on the tape Feb 22, 2017 · 19 filings
RAUM
$81.8M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
48%
$39.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$42.8M gross assets
History
19 filings and snapshots on the tape
RAUM$81.8M as of Mar 22, 2024
Mar 29, 2018$194M then
HNW client RAUM$39.0M as of Mar 22, 2024
Mar 29, 2018$145M then
State-registered IARs (5.B.3)1 as of Mar 22, 2024
Mar 29, 20182 then
Employees (5.A)2 as of Mar 22, 2024
Mar 29, 20186 then
Private funds2 as of Mar 22, 2024
Mar 29, 20182 then
RAUM -37% over the last fiscal year-19% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jun 27, 2024; every figure names its basis
- RAUM per advisor
- $81.8MderivedRAUM 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
- $5.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$42.8M52%
- High-net-worth individuals$39.0M48%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- 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
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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••••• S•••••••• F•••• L• | Hedge Fund | $40.1M | 10 | Feb 22, 2017 |
| S••••••••• I••••• F•••• L• | Hedge Fund | $2.7M | 4 | Jan 8, 2019 |
| I•••••••• I••••• F•••• L•no longer reported | Hedge Fund | $1.4M | 3 | Jan 8, 2019 |
| S••••• F•••• L•no longer reported | Hedge Fund | $0 | 0 | Feb 22, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••• W••••••• G•••••• · Chief Financial Officer And Ccocontrolsince 01/2017 · owns 25% to 50%
- S••••• R•••• M••••• · Manager And Membercontrolsince 10/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
- I•••••••• S•••••••• F••• G•• L•pooled vehicle sponsorn
- S••••••••• I••••• F••• G•• L•pooled vehicle sponsorn
Advisers that list I•••••••• C•••••• M••••••••• L•• as a related person
- 311116 y
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Other offices · 0 to 1Jun 18, 2024 to Jun 27, 2024
- Accounts · 42 to 14Mar 21, 2023 to Mar 22, 2024
- Advisory employees · 3 to 2Mar 21, 2023 to Mar 22, 2024
- HNW clients · 11.0 to unsetMar 21, 2023 to Mar 22, 2024
- Individual clients · 5 to 0Mar 21, 2023 to Mar 22, 2024
- Assets in custody · 0.0 to unsetMar 21, 2023 to Mar 22, 2024
- Employees · 3 to 2Mar 21, 2023 to Mar 22, 2024
- Discretionary RAUM · $116M to $75.9MMar 21, 2023 to Mar 22, 2024
- HNW RAUM · $84.6M to $39.0MMar 21, 2023 to Mar 22, 2024
- Individual RAUM · $878,420 to $0Mar 21, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $14.5M to $5.8MMar 21, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $45.4M to $42.8MMar 21, 2023 to Mar 22, 2024
- RAUM · $131M to $81.8MMar 21, 2023 to Mar 22, 2024
- Accounts · 46 to 42May 2, 2022 to Mar 21, 2023
- HNW clients · 12 to 11May 2, 2022 to Mar 21, 2023
- Discretionary RAUM · $140M to $116MMay 2, 2022 to Mar 21, 2023
- HNW RAUM · $106M to $84.6MMay 2, 2022 to Mar 21, 2023
- Individual RAUM · $1.0M to $878,420May 2, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $11.1M to $14.5MMay 2, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $44.1M to $45.4MMay 2, 2022 to Mar 21, 2023
- RAUM · $151M to $131MMay 2, 2022 to Mar 21, 2023
- Related adviser · true to falseApr 27, 2022 to May 2, 2022
- Employees · 4 to 3Mar 22, 2022 to Apr 27, 2022
- Accounts · 37 to 46Feb 11, 2022 to Mar 22, 2022
- Charity clients · unset to 0.0Feb 11, 2022 to Mar 22, 2022
- Corporate clients · unset to 0.0Feb 11, 2022 to Mar 22, 2022
- HNW clients · 19 to 12Feb 11, 2022 to Mar 22, 2022
- Individual clients · 6 to 5Feb 11, 2022 to Mar 22, 2022
- Pension plan clients · unset to 0.0Feb 11, 2022 to Mar 22, 2022
- Discretionary RAUM · $143M to $140MFeb 11, 2022 to Mar 22, 2022
- HNW RAUM · $102M to $106MFeb 11, 2022 to Mar 22, 2022
- Individual RAUM · $1.0M to $1.0MFeb 11, 2022 to Mar 22, 2022
- Non-discretionary RAUM · $9.4M to $11.1MFeb 11, 2022 to Mar 22, 2022
- Pension RAUM · unset to 0.0Feb 11, 2022 to Mar 22, 2022
- Pooled vehicle RAUM · $50.0M to $44.1MFeb 11, 2022 to Mar 22, 2022
- RAUM · $153M to $151MFeb 11, 2022 to Mar 22, 2022
- Accounts · 61 to 37Nov 4, 2020 to Mar 31, 2021
- Advisory employees · 6 to 3Nov 4, 2020 to Mar 31, 2021
- HNW clients · 36 to 19Nov 4, 2020 to Mar 31, 2021
- Individual clients · 7 to 6Nov 4, 2020 to Mar 31, 2021
Signals
1 dated events
- I•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 22, 2017 · 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
- Website
- I••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026