DFX Intelligence

RIA Intelligence

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A••••••••• W••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviserwebsite

Former SEC-registered adviser.

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

Last reported RAUM
Not applicable
Advisors
4
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
Not established
Advisors (4)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 172715 · SEC 801-80738 · 9 filingsShow
CRD 172715SEC 801-80738First filing on the tape Dec 9, 2014, latest Sep 15, 2015IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Sep 15, 2015
Dec 9, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Sep 15, 2015
Dec 9, 20140 then
Employees (5.A)14 as of Sep 15, 2015
Dec 9, 20140 then
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2015; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
3.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••• A••••• A••••••Shenandoah, TxMay 29, 201525 y1
E••• E•••••• E•••••• A••••••Mexico City Jun 1, 201512 y0
A••••• G•••••••• C••••••• C••••••Mexico City Jun 1, 201522 y0
L••• E•••••• M•••••••Shenandoah, TxMar 13, 201933 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••• C•••••• A••••• · Chief Compliance Officer/President
    since 12/2014 · owns less than 5%
  • M•••••••• L•••• E•••••• · Director
    since 12/2014 · owns less than 5%
Entity owners
  • A••••••••• G••••• I••••••••• I••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Shenandoah, Tx400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 0 to 7
    May 26, 2015 to Jul 30, 2015
  • Advisory activities · 2 to 1
    May 26, 2015 to Jul 30, 2015
  • Employees · 0 to 14
    May 26, 2015 to Jul 30, 2015
  • State-registered IARs · 0 to 7
    May 26, 2015 to Jul 30, 2015
  • Business name · A•••••••• W••••• M••••••••• I••• to A••••••••• W••••• M••••••••• I•••
    Dec 9, 2014 to Dec 22, 2014
  • Legal name · A•••••••• W••••• M••••••••• I••• to A••••••••• W••••• M••••••••• I•••
    Dec 9, 2014 to Dec 22, 2014
Signals
1 dated events
  • ••• Locked
    Dec 9, 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.
How to reach
public business contact points only, each with its source
Website
••• Lockedreportedpublic record, Form ADV, Apr 6, 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
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