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

R••••• A••••••••• M••••••••• I•• L•

Former SEC-registered adviserDallas, TexasCRD 168942SEC 801-78783IAPD
Latest filing Mar 26, 2021
First filing on the tape Nov 1, 2013 · 15 filings
RAUM
$4.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$4.2M gross assets
History
15 filings and snapshots on the tape
RAUM$4.2M as of Mar 26, 2021
Mar 31, 2014$7.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 31, 20141 then
Employees (5.A)14 as of Mar 26, 2021
Mar 31, 201414 then
Private funds1 as of Mar 26, 2021
Mar 31, 20142 then
RAUM -57% over the last fiscal year-77% a year over threeIARs 1 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 26, 2021; 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
$2.1MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-57%derivedbetween the last two annual amendments
Advisor growth, one year
-100%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 pooled vehiclesreportedItem 5.G
Custody
$4.2M, 2 clientsreportedItem 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.2M for 2 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••• S•••••••• I••••• F•••• L•Hedge Fund$4.2M37Nov 1, 2013
      R••••• S•••••••• I••••• F•••• L••Hedge Fund$3.8M24Nov 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• N•••••• J•••• · General Counselcontrol
        since 09/2013 · owns less than 5%
      • K•••••• W••••••• J• · Director Of Marketingcontrol
        since 09/2013 · owns 10% to 25%
      • M•••••••• W•••••• C••••••• · Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      • M•••••• G••••••• P• · Portfolio Managercontrol
        since 09/2013 · owns 10% to 25%
      • T•••••••• I••• J•••••• W••••••• · Coo/Cfocontrol
        since 09/2013 · owns less than 5%
      • C••••• K••••••• S•••• · Limited Partnercontrol
        since 01/2005 · owns 25% to 50% of R••••• C•••••• G•••• H•••••••• L•••
      • E••••••• J••••• C••••••••• · Managercontrol
        since 01/2005 · owns 75% or more of R••••• C•••••• G••••• L•••••
      • E••••••• J••••• C••••••••• · Limited Partnercontrol
        since 01/2005 · owns 25% to 50% of R••••• C•••••• G•••• H•••••••• L•••
      Entity owners
      • R••••• A••••••••• M••••••••• •••• L•• · General Partner
        direct · owns less than 5%
      • R••••• C•••••• G•••• H•••••••• L••• · Limited Partner
        direct · owns 50% to 75%
      • R••••• C•••••• G••••• L• · Limited Partner
        direct · owns 50% to 75%
      • R••••• C•••••• G•••• H•••••••• L••• · Manager
        indirect · owns 50% to 75% of R••••• A••••••••• M••••••••• •••• L••
      • R••••• C•••••• G••••• L••••• · General Partner
        indirect · owns F of R••••• C•••••• G•••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list R••••• A••••••••• M••••••••• I•• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Apr 2, 2020 to Mar 26, 2021
      • Assets in custody · $6.1M to $4.2M
        Apr 2, 2020 to Mar 26, 2021
      • Employees · 17 to 14
        Apr 2, 2020 to Mar 26, 2021
      • Financial planning clients · 1-10 to 0
        Apr 2, 2020 to Mar 26, 2021
      • State-registered IARs · 1 to 0
        Apr 2, 2020 to Mar 26, 2021
      • Other offices · 0 to 1
        Apr 2, 2020 to Mar 26, 2021
      • Private funds · 2 to 1
        Apr 2, 2020 to Mar 26, 2021
      • Discretionary RAUM · $9.9M to $4.2M
        Apr 2, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $9.9M to $4.2M
        Apr 2, 2020 to Mar 26, 2021
      • RAUM · $9.9M to $4.2M
        Apr 2, 2020 to Mar 26, 2021
      • Related bank · false to true
        Apr 2, 2020 to Mar 26, 2021
      • Accounts · 3 to 2
        Mar 30, 2019 to Apr 2, 2020
      • Advisory employees · 3 to 1
        Mar 30, 2019 to Apr 2, 2020
      • Assets in custody · $17.7M to $6.1M
        Mar 30, 2019 to Apr 2, 2020
      • Other offices · 1 to 0
        Mar 30, 2019 to Apr 2, 2020
      • Discretionary RAUM · $259M to $9.9M
        Mar 30, 2019 to Apr 2, 2020
      • Pooled vehicle RAUM · $29.2M to $9.9M
        Mar 30, 2019 to Apr 2, 2020
      • RAUM · $259M to $9.9M
        Mar 30, 2019 to Apr 2, 2020
      • Assets in custody · $44.7M to $17.7M
        Mar 31, 2018 to Mar 30, 2019
      • Employees · 20 to 17
        Mar 31, 2018 to Mar 30, 2019
      • Discretionary RAUM · $339M to $259M
        Mar 31, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $44.6M to $29.2M
        Mar 31, 2018 to Mar 30, 2019
      • RAUM · $339M to $259M
        Mar 31, 2018 to Mar 30, 2019
      • Pooled vehicle clients · unset to 2.0
        Apr 28, 2017 to Mar 31, 2018
      • Assets in custody · $362M to $44.7M
        Apr 28, 2017 to Mar 31, 2018
      • Employees · 21 to 20
        Apr 28, 2017 to Mar 31, 2018
      • Financial planning clients · unset to 1-10
        Apr 28, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Apr 28, 2017 to Mar 31, 2018
      • Discretionary RAUM · $362M to $339M
        Apr 28, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 44585288.0
        Apr 28, 2017 to Mar 31, 2018
      • RAUM · $362M to $339M
        Apr 28, 2017 to Mar 31, 2018
      • BD registered reps · 2 to 1
        May 5, 2016 to Mar 31, 2017
      • Assets in custody · $16.7M to $362M
        May 5, 2016 to Mar 31, 2017
      • Discretionary RAUM · $246M to $362M
        May 5, 2016 to Mar 31, 2017
      • RAUM · $246M to $362M
        May 5, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Jan 5, 2016 to Mar 30, 2016
      • BD registered reps · 0 to 2
        Jan 5, 2016 to Mar 30, 2016
      • Assets in custody · $18.1M to $16.7M
        Jan 5, 2016 to Mar 30, 2016
      • Employees · 16 to 21
        Jan 5, 2016 to Mar 30, 2016
      • Discretionary RAUM · $249M to $246M
        Jan 5, 2016 to Mar 30, 2016
      Signals
      6 dated events
      • C••••••• W••••• Mcdowell (Chief Compliance Officer) appeared on Schedule A of R••••• A••••••••• M••••••••• I•• L•
        Mar 26, 2021 · Control person joined · fact
      • M••• H•••••• (Chief Compliance Officer) no longer on Schedule A of R••••• A••••••••• M••••••••• I•• L• (listed 2020-04-02, absent 2021-03-26)
        Mar 26, 2021 · Control person left · inference
      • R••••• A••••••••• M••••••••• I•• L• reported RAUM $9.9M, down 96% from $258.7M (2019-03-30 to 2020-04-02)
        Apr 2, 2020 · RAUM change · derived
      • Joseph W••••• Mckinght (Co-Portfolio Manager) no longer on Schedule A of R••••• A••••••••• M••••••••• I•• L• (listed 2018-03-31, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • M••• H•••••• (Chief Compliance Officer) appeared on Schedule A of R••••• A••••••••• M••••••••• I•• L•
        Mar 30, 2019 · Control person joined · fact
      • R••••• A••••••••• M••••••••• I•• L• filed its initial SEC registration (Form ADV)
        Nov 1, 2013 · 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.
      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