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••••••• L•

Former SEC-registered adviserDallas, TexasCRD 171940SEC 801-107947IAPD
Latest filing Mar 30, 2021
First filing on the tape Jun 1, 2016 · 10 filings
RAUM
$285M
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
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
$285M gross assets
History
10 filings and snapshots on the tape
RAUM$285M as of Mar 30, 2021
Mar 31, 2017$746M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 31, 20170 then
Employees (5.A)12 as of Mar 30, 2021
Mar 31, 201713 then
Private funds10 as of Mar 30, 2021
Mar 31, 201712 then
RAUM -23% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$25.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$285M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• R••••••••• L••Private Equity Fund$159M21Mar 28, 2018
      I•• C•••• F• I••••••••• V•••••• I• L•••Private Equity Fund$68.8M1Mar 30, 2016
      I•• S•••• T•••• P••••••• I• L•no longer reportedPrivate Equity Fund$16.0M7Mar 30, 2016
      I•• C•••• L• I••••••••• V•••••• I• L•no longer reportedPrivate Equity Fund$15.4M1Mar 30, 2016
      I•• C••••••••• P•••••••• L•Private Equity Fund$7.6M4Mar 30, 2016
      I•• G••••••• 1••• P••••••• I• L•no longer reportedPrivate Equity Fund$1.6M7Jun 1, 2016
      I•• C•••••• I••••••••• I• L•Private Equity Fund$616,62828Nov 11, 2014
      I•• S•••• O••••••••• P•••••••• L•Private Equity Fund$301,9035Mar 31, 2017
      I•• M••••••••• P••••••• I• L•••Private Equity Fund$191,3934Mar 30, 2016
      I•• C•••• M• I••••••••• V•••••• I• L•Private Equity Fund$158,6741Jun 1, 2016
      I•• C•••• S• I••••••••• V•••••• I• L•Private Equity Fund$150,9521Mar 31, 2017
      I•• N•• P••••••• I• L•Private Equity Fund$01Jun 1, 2016
      I•• H••••• F••••• P•••••••• L•Private Equity Fund$05Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• N•••• P••••• · Managing Director / Limited Partnercontrol
        since 05/2014 · owns 25% to 50%
      • H••••• I••• W••••••• J•••• · Managing Director / Chief Compliance Officer / Chief Financial Officercontrol
        since 10/2019 · owns less than 5%
      • R••••••• M•••• C•••••••• · Senior Managing Director / Limited Partnercontrol
        since 05/2014 · owns 25% to 50%
      • W••••••• T•••••• C••••• · Managing Directorcontrol
        since 05/2014 · owns less than 5%
      • B•••• N•••• P••••• · Member / Managercontrol
        since 05/2014 · owns 25% to 50% of I•• C•••••• G•• L••
      • R••••••• M•••• C•••••••• · Member / Managercontrol
        since 05/2014 · owns 25% to 50% of I•• C•••••• G•• L••
      Entity owners
      • I•• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • I•• C•••••• I••••••••• I• G•• L•
        pooled vehicle sponsorn
      • I•• R•••••••• P••••••• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 9
        Jan 26, 2021 to Mar 30, 2021
      • Employees · 13 to 12
        Jan 26, 2021 to Mar 30, 2021
      • Discretionary RAUM · $371M to $285M
        Jan 26, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $371M to $285M
        Jan 26, 2021 to Mar 30, 2021
      • RAUM · $371M to $285M
        Jan 26, 2021 to Mar 30, 2021
      • Accounts · 14 to 11
        Nov 6, 2019 to Mar 30, 2020
      • Advisory employees · 8 to 10
        Nov 6, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 14 to 11
        Nov 6, 2019 to Mar 30, 2020
      • Employees · 18 to 13
        Nov 6, 2019 to Mar 30, 2020
      • Private funds · 13 to 10
        Nov 6, 2019 to Mar 30, 2020
      • Discretionary RAUM · $690M to $371M
        Nov 6, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $48.2M to $0
        Nov 6, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $738M to $371M
        Nov 6, 2019 to Mar 30, 2020
      • RAUM · $738M to $371M
        Nov 6, 2019 to Mar 30, 2020
      • Other offices · 2 to 1
        Apr 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $671M to $690M
        Apr 30, 2018 to Mar 31, 2019
      • Non-discretionary RAUM · $140M to $48.2M
        Apr 30, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $811M to $738M
        Apr 30, 2018 to Mar 31, 2019
      • RAUM · $811M to $738M
        Apr 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $671M to $671M
        Mar 28, 2018 to Apr 30, 2018
      • Pooled vehicle RAUM · $811M to $811M
        Mar 28, 2018 to Apr 30, 2018
      • RAUM · $811M to $811M
        Mar 28, 2018 to Apr 30, 2018
      • Accounts · 13 to 14
        Mar 31, 2017 to Mar 28, 2018
      • Advisory activities · 1 to 2
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 14.0
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 13 to 18
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 2.0
        Mar 31, 2017 to Mar 28, 2018
      • Private funds · 12 to 13
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $713M to $671M
        Mar 31, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $33.0M to $140M
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 810943094.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $746M to $811M
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 10 to 13
        Jun 1, 2016 to Mar 31, 2017
      • Employees · 11 to 13
        Jun 1, 2016 to Mar 31, 2017
      • Private funds · 18 to 12
        Jun 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $481M to $713M
        Jun 1, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $69.2M to $33.0M
        Jun 1, 2016 to Mar 31, 2017
      • RAUM · $550M to $746M
        Jun 1, 2016 to Mar 31, 2017
      Signals
      5 dated events
      • Frederic Charles Shufeldt (Managing Director / Limited Partner) no longer on Schedule A of I•• C••••••• L• (listed 2021-01-26, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • I•• C••••••• L• reported RAUM $371.3M, down 50% from $737.7M (2019-11-06 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Tynan Michael Arnold (Vice President / Chief Compliance Officer) no longer on Schedule A of I•• C••••••• L• (listed 2019-03-31, absent 2019-10-15)
        Oct 15, 2019 · Control person left · inference
      • James William Iii Heath (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of I•• C••••••• L•
        Oct 15, 2019 · Control person joined · fact
      • I•• C••••••• L• filed its initial SEC registration (Form ADV)
        Jun 1, 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