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

C•••••• C•••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 167469SEC 801-107635IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2016 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
36
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
18
$163M gross assets
History
1 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 36
Private funds: 18
Practice profile
derived from the filing of Mar 30, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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-based, otherreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
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
      Every departureEvery arrival
      Private funds
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• T•••••••• F•••• L•Private Equity Fund$29.1M53Mar 30, 2016
      C•••••• E••••• F•••• L•Private Equity Fund$16.4M30Mar 30, 2016
      C•••••• H••••••••• B•••• F•••• L•Private Equity Fund$14.9M20Mar 30, 2016
      C•••••• M•••• F•••• L•Private Equity Fund$12.1M23Mar 30, 2016
      C•••••• C•••••• F•••• L•Private Equity Fund$10.9M9Mar 30, 2016
      C•••••• S•••••••• F••• I• L•Private Equity Fund$10.2M20Mar 30, 2016
      C•••••• S••••••• F•••• L•Private Equity Fund$10.1M20Mar 30, 2016
      C•••••• T•• E••••• F••• I• L•Private Equity Fund$9.5M17Mar 30, 2016
      C•••••• S•••• T••••• F•••• L•Private Equity Fund$6.3M18Mar 30, 2016
      C•••••• P•••••• F•••• L•Private Equity Fund$5.5M17Mar 30, 2016
      C•••••• T•••••• F•••• L•Private Equity Fund$5.4M9Mar 30, 2016
      C•••••• T•• D••••••• E•••••• L•Private Equity Fund$3.5M7Mar 30, 2016
      C•••••• E•• F•••• L•Private Equity Fund$3.4M10Mar 30, 2016
      C•••••• P••••• F•••• L•Private Equity Fund$1.8M3Mar 30, 2016
      C•• R• W••••••••• H•••• F•••• L•Private Equity Fund$00Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• R•••••• M•••••• · Membercontrol
        since 02/2010 · owns 5% to 10%
      • C••••••• R••••••• L•••••• P••••••• · Chief Compliance Officercontrol
        since 07/2013 · owns less than 5%
      • H••••• D•••••• J••••• · Chief Executive Officercontrol
        since 02/2010 · owns 25% to 50%
      • P••••• D••••• E••• · Chief Operating Officercontrol
        since 02/2015 · owns less than 5%
      • L•••••• B•••• · Managing Membercontrol
        since 02/2010 · owns 50% to 75% of B•• C••• C••••••• L••
      • R•••• G•••••• B•••• · Managing Membercontrol
        since 04/2008 · owns 75% or more of R••• T•••• Holdings LLC
      • W•••••• K••• · Managing Membercontrol
        since 02/2010 · owns 50% to 75% of B•• C••• C••••••• L••
      • V••••••• P••••••• R••• · Member
        since 02/2010 · owns 5% to 10%
      Entity owners
      • R••• T•••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • B•• C••• C••••••• L•• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • C•• A••••••• D••••• G••••••• E••••• F••• G•• L•
        pooled vehicle sponsory
      • C•• A••••••• M••••••• E••••• F••• G•• L••
        pooled vehicle sponsory
      • C•• C••••• E••••• F••• G•• L•
        pooled vehicle sponsory
      • C•• M•• E••••• F••• G•• L•
        pooled vehicle sponsory
      • C•• R• W••••••••• H•••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• A••••••••• I••••••••• L••
        investment adviserpooled vehicle sponsorn
      • C•••••• A••• C••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• C•••••• L••••• G•• L••
        pooled vehicle sponsory
      • C•••••• C••••• M•••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• C••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• C•••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• E••• F••• 2• G•• L•
        pooled vehicle sponsory
      • C•••••• E•• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• E••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• G••••••• M•••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• G••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• G•••••••• G•• L•
        pooled vehicle sponsory
      • C•••••• H•••• A••••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• H••••• E••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• H••••••••• B•••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• L•••• H•••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• L•••••• G•• L•
        pooled vehicle sponsory
      • C•••••• L•••••• P••••••• I• G•• L•
        pooled vehicle sponsory
      • C•••••• M•• M•••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• M•••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• M••••••• M•••••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• M••••••• C•••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• P•••••••• L••
        pooled vehicle sponsory
      • C•••••• P••••• E••••• F••• G•• L•
        pooled vehicle sponsory
      • C•••••• P••••• F••• G•• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • C•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 30, 2016 · First SEC registration · fact
      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