DFX Intelligence

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U•••• F••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered8 private funds· Plano, Texaswebsite

Asset manager (funds and pooled vehicles), based in Plano, Texas, reporting $768M of regulatory assets.

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

As of 2026-05-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $768M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: -2.2%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-05-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 167491 · SEC 801-78648 · 18 filingsShow

CRD 167491SEC 801-78648First filing on the tape Sep 27, 2013, latest May 7, 2026SEC status approved since Oct 1, 2013IAPD

RAUM

$768M

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

n/a

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$768M as of May 7, 2026

Mar 28, 2014$411M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 7, 2026

Mar 28, 20140 then

Employees (5.A)67 as of May 7, 2026

Mar 28, 20144 then

Private funds8 as of May 7, 2026

Mar 28, 20144 then

RAUM -2.2% over the last fiscal year-19% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 7, 2026; 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: $85.3MderivedRAUM 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: -2.2%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-based, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 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

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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$768M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
U•••• O•• A•• G•• P••••••• D••• L•	Other Private Fund	$181M	4	Apr 30, 2020
U•••• O•• A•• G•• P••••••• E• L•	Other Private Fund	$161M	5	Mar 29, 2024
U•••• O•• A•• G•• P••••••• D• L•	Other Private Fund	$80.1M	2	Apr 30, 2020
U•••• O•• A•• G•• P••••••• C• L•	Other Private Fund	$77.9M	6	Mar 29, 2017
U•••• O•• A•• G•• P••••••• E••• L•	Other Private Fund	$49.3M	3	Mar 29, 2024
U•••• O•• A•• G•• P••••••• C•••••	Other Private Fund	$8.2M	2	Mar 29, 2017
U•••• O•• A•• G•• P••••••• B• L•••	Other Private Fund	$4.7M	12	Sep 27, 2013
U•••• O•• A•• G•• P••••••• A• L•no longer reported	Other Private Fund	$690,000	10	Apr 5, 2012
U•••• O•• A•• G•• P••••••• B••• L•	Other Private Fund	$662,291	8	Sep 27, 2013
U•••• O•• A•• G•• P••••••• A••• L•no longer reported	Other Private Fund	$403,000	5	Apr 5, 2012

Owners and control persons

Schedule A and B, latest filing

K••••• M••••••• T••••• · Membercontrol
since 03/2020 · owns 10% to 25%
S•••• B•••••• C•••••• · Membercontrol
since 03/2013 · owns 75% or more
W•••••••• J••••••• L••••• · Chief Compliance Officer
since 04/2010 · owns less than 5%

Related persons

Schedule D 7.A

U•• A•• M••••••••• I• L••
pooled vehicle sponsorn
U•••• F••• I• L•
pooled vehicle sponsorn
U•••• F••• I•• L•
pooled vehicle sponsorn
U•••• F••• I••• L•
pooled vehicle sponsorn
U•••• F••• I•• L•
pooled vehicle sponsorn
U•••• F••• V• L•
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 11 to 9
May 22, 2025 to Mar 30, 2026
Advisory employees · 2 to 10
May 22, 2025 to Mar 30, 2026
Pooled vehicle clients · 11 to 9
May 22, 2025 to Mar 30, 2026
Employees · 2 to 67
May 22, 2025 to Mar 30, 2026
Private funds · 10 to 8
May 22, 2025 to Mar 30, 2026
Discretionary RAUM · $785M to $768M
May 22, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $785M to $768M
May 22, 2025 to Mar 30, 2026
RAUM · $785M to $768M
May 22, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 31, 2025 to May 22, 2025
Discretionary RAUM · $808M to $785M
May 9, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $808M to $785M
May 9, 2024 to Mar 31, 2025
RAUM · $808M to $785M
May 9, 2024 to Mar 31, 2025
Discretionary RAUM · $790M to $808M
Mar 29, 2024 to May 9, 2024
Pooled vehicle RAUM · $790M to $808M
Mar 29, 2024 to May 9, 2024
RAUM · $790M to $808M
Mar 29, 2024 to May 9, 2024
Accounts · 8 to 11
Mar 20, 2023 to Mar 29, 2024
Pooled vehicle clients · 8 to 11
Mar 20, 2023 to Mar 29, 2024
Assets in custody · unset to 0.0
Mar 20, 2023 to Mar 29, 2024
Custody of client assets · false to true
Mar 20, 2023 to Mar 29, 2024
Private funds · 8 to 10
Mar 20, 2023 to Mar 29, 2024
Discretionary RAUM · $1.5B to $790M
Mar 20, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $1.5B to $790M
Mar 20, 2023 to Mar 29, 2024
RAUM · $1.5B to $790M
Mar 20, 2023 to Mar 29, 2024
Discretionary RAUM · $763M to $1.5B
Mar 21, 2022 to Mar 20, 2023
Pooled vehicle RAUM · $763M to $1.5B
Mar 21, 2022 to Mar 20, 2023
RAUM · $763M to $1.5B
Mar 21, 2022 to Mar 20, 2023
Discretionary RAUM · $458M to $763M
Mar 29, 2021 to Mar 21, 2022
Pooled vehicle RAUM · $458M to $763M
Mar 29, 2021 to Mar 21, 2022
RAUM · $458M to $763M
Mar 29, 2021 to Mar 21, 2022
Discretionary RAUM · $489M to $458M
Apr 30, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $489M to $458M
Apr 30, 2020 to Mar 29, 2021
RAUM · $489M to $458M
Apr 30, 2020 to Mar 29, 2021
Accounts · 6 to 8
Mar 25, 2019 to Apr 30, 2020
Pooled vehicle clients · 6 to 8
Mar 25, 2019 to Apr 30, 2020
Private funds · 6 to 8
Mar 25, 2019 to Apr 30, 2020
Discretionary RAUM · $494M to $489M
Mar 25, 2019 to Apr 30, 2020
Pooled vehicle RAUM · $494M to $489M
Mar 25, 2019 to Apr 30, 2020
RAUM · $494M to $489M
Mar 25, 2019 to Apr 30, 2020
Advisory employees · 4 to 2
Mar 23, 2018 to Mar 25, 2019
Employees · 4 to 2
Mar 23, 2018 to Mar 25, 2019

Signals

9 dated events

••• Locked
May 7, 2026 · private fund no longer reported · inference
••• Locked
May 7, 2026 · private fund no longer reported · inference
••• Locked
Mar 29, 2024 · RAUM change · derived
••• Locked
Mar 20, 2023 · RAUM change · derived
••• Locked
Mar 21, 2022 · RAUM change · derived
••• Locked
Mar 25, 2019 · Control person left · inference
••• Locked
Mar 25, 2019 · RAUM change · derived
••• Locked
Mar 25, 2019 · Control person left · inference
••• Locked
Sep 27, 2013 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

U•••• F••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, May 7, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 7, 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: Asset manager (funds and pooled vehicles)deriveda 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