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

A•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 172754SEC 801-80743IAPD
Latest filing Mar 23, 2020
First filing on the tape Dec 10, 2014 · 6 filings
RAUM
$82.4M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$82.4M as of Mar 23, 2020
Mar 31, 2016$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 31, 20160 then
Employees (5.A)4 as of Mar 23, 2020
Mar 31, 201611 then
Private funds: 1
RAUM -33% over the last fiscal year+19% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 23, 2020; 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
$82.4MderivedRAUM 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
-33%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Corporations and businesses$82.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• Q••••••••• A••••••••• M••••• F•••• L•no longer reportedHedge Fund$101M9Dec 10, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M••••••••• J••• · Manager / Chief Executive Officercontrol
        since 09/2014 · owns less than 5%
      • H•••• J••••• R•••••• · Manager / Chief Investment Officercontrol
        since 09/2014 · owns less than 5%
      • P••••• J••••• A•••• · Chief Compliance Officer / Associate General Counselcontrol
        since 09/2014 · owns less than 5%
      • B••••••• M••••••••• J••• · Managercontrol
        since 09/2014 · owns F of A•• M••••••••• H•••••• L••
      • H•••• J••••• R•••••• · Managercontrol
        since 09/2014 · owns F of A•• M••••••••• H•••••• L••
      Entity owners
      • A•• M••••••••• H•••••• L•• · Member
        direct · owns 75% or more
      • A•••••• A•••••••• I••• · Member
        indirect · owns 75% or more of A•••••• H••••••••• A••••••• L••
      • A•••••• H••••••••• A••••••• L•• · Member
        indirect · owns 75% or more of A•• M••••••••• H•••••• L••
      • A•••••• H••••••••• H••••••• L•• · Member
        indirect · owns 75% or more of A•••••• A•••••••• I•••
      • A•••••• I••• · Member And Manager
        indirect · owns 75% or more of A•••••• H••••••••• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 29, 2019 to Mar 23, 2020
      • Assets in custody · 123667163.0 to unset
        Mar 29, 2019 to Mar 23, 2020
      • Employees · 6 to 4
        Mar 29, 2019 to Mar 23, 2020
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 23, 2020
      • Discretionary RAUM · $124M to $82.4M
        Mar 29, 2019 to Mar 23, 2020
      • RAUM · $124M to $82.4M
        Mar 29, 2019 to Mar 23, 2020
      • Related broker-dealer · false to true
        Mar 29, 2019 to Mar 23, 2020
      • Assets in custody · $204M to $124M
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $204M to $124M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $204M to $124M
        Mar 28, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · $48.4M to $204M
        Mar 31, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 1-10
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $48.4M to $204M
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $48.4M to $204M
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 2 to 1
        Mar 31, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 4
        Mar 31, 2016 to Mar 31, 2017
      • Assets in custody · unset to 48363755.0
        Mar 31, 2016 to Mar 31, 2017
      • Employees · 11 to 6
        Mar 31, 2016 to Mar 31, 2017
      • Private funds · 1 to unset
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $101M to $48.4M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $101M to $48.4M
        Mar 31, 2016 to Mar 31, 2017
      • Accounts · 3 to 2
        Dec 10, 2014 to Mar 31, 2016
      • Advisory employees · 6 to 5
        Dec 10, 2014 to Mar 31, 2016
      • Advisory activities · 2 to 1
        Dec 10, 2014 to Mar 31, 2016
      • Discretionary RAUM · $119M to $101M
        Dec 10, 2014 to Mar 31, 2016
      • RAUM · $119M to $101M
        Dec 10, 2014 to Mar 31, 2016
      Signals
      1 dated events
      • A•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 10, 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