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

P•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserHouston, TexasCRD 171916SEC 801-79979IAPD
Latest filing Mar 30, 2016
First filing on the tape Jun 20, 2014 · 6 filings
RAUM
$59.9M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$59.9M as of Mar 30, 2016
Mar 27, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Mar 27, 20151 then
Employees (5.A)7 as of Mar 30, 2016
Mar 27, 20155 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$59.9MderivedRAUM 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
$59.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 investment companiesreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• G••••••• J••••• · Chief Financial Officercontrol
        since 10/2014 · owns less than 5%
      • J••••••• A••••• · Managing Partnercontrol
        since 07/2014 · owns less than 5%
      • S••••••• J••• A•• · Chief Compliance Officercontrol
        since 06/2014 · owns less than 5%
      • S•••• M••••• · Managing Partnercontrol
        since 07/2014 · owns less than 5%
      • J••••••• A••••• · Membercontrol
        since 08/2013 · owns 75% or more of C•••••• P•••• E••••• P•••••••• L••
      • S•••• M••••• · Chief Executive Officercontrol
        since 11/2002 · owns 75% or more of P•••••••• A••••••• G••••• I•••
      Entity owners
      • C•••••• P•••• E••••• P•••••••• L•• · Owner
        direct · owns 50% to 75%
      • P•••••••• A••••••• G••••• I••• · Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Kingston, NJ
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 4
        May 27, 2015 to Mar 30, 2016
      • Assets in custody · $61.4M to $0
        May 27, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        May 27, 2015 to Mar 30, 2016
      • Employees · 11 to 7
        May 27, 2015 to Mar 30, 2016
      • State-registered IARs · 0 to 1
        May 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $61.4M to $59.9M
        May 27, 2015 to Mar 30, 2016
      • RAUM · $61.4M to $59.9M
        May 27, 2015 to Mar 30, 2016
      • Accounts · 0 to 1
        Mar 27, 2015 to Apr 17, 2015
      • Advisory employees · 3 to 7
        Mar 27, 2015 to Apr 17, 2015
      • Advisory activities · 2 to 1
        Mar 27, 2015 to Apr 17, 2015
      • Assets in custody · unset to 61404992.0
        Mar 27, 2015 to Apr 17, 2015
      • Custody of client assets · false to true
        Mar 27, 2015 to Apr 17, 2015
      • Employees · 5 to 11
        Mar 27, 2015 to Apr 17, 2015
      • State-registered IARs · 1 to 0
        Mar 27, 2015 to Apr 17, 2015
      • Discretionary RAUM · $0 to $61.4M
        Mar 27, 2015 to Apr 17, 2015
      • RAUM · $0 to $61.4M
        Mar 27, 2015 to Apr 17, 2015
      • Accounts · unset to 0.0
        Nov 7, 2014 to Mar 27, 2015
      • HQ city · KINGSTON to HOUSTON
        Nov 7, 2014 to Mar 27, 2015
      • HQ state · NJ to TX
        Nov 7, 2014 to Mar 27, 2015
      • Discretionary RAUM · unset to 0.0
        Nov 7, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · unset to 0.0
        Nov 7, 2014 to Mar 27, 2015
      • RAUM · unset to 0.0
        Nov 7, 2014 to Mar 27, 2015
      Signals
      1 dated events
      • P•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 20, 2014 · 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