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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SEC-registered adviser
R••• A•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 21, 2014 · 30 filings
SEC status approved since Aug 28, 2014
RAUM
$139M
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$139M as of Mar 5, 2026
Mar 30, 2015$56.5M then
HNW client RAUM$0 as of Mar 5, 2026
Feb 14, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Mar 30, 20150 then
Employees (5.A)1 as of Mar 5, 2026
Mar 30, 20151 then
Private funds2 as of Mar 5, 2026
Feb 10, 20162 then
RAUM -9.5% over the last fiscal year-2.1% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 5, 2026; 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
- $1.8MderivedRAUM 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
- -9.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $139M, 3 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$139M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 78reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• I••• L• | Private Equity Fund | $22.7M | 2 | Dec 3, 2015 |
| R••• P• F••• I• L••• | Private Equity Fund | $19,541 | 3 | Dec 3, 2015 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• M••• · Ccocontrolsince 08/2022 · owns less than 5%
- P••••••• M••• · Managing Member And Sole Owner Of C••••••••• D•• G•• L••controlsince 03/2021 · owns 75% or more of C••••••••• D•• G•• L••
Entity owners
- C••••••••• D•• H••••••• C•••• · Ownerdirect · owns 75% or more
- C••••••••• D•• G•• L•• · Gnereal Partner Of C••••••••• Daf Fund, L.Pindirect · owns F of L•••••• C•• H•••••• L•••
- C••••••••• D•• H••••• L••• · Owner Of C••••••••• Daf Fund, L.P.indirect · owns 75% or more of L•••••• C•• H•••••• L•••
- L•••••• C•• H•••••• L••• · Owner Of To C••••••••• D•• H••••••• C••••indirect · owns 75% or more of C••••••••• D•• H••••••• C••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 80 to 78Jul 29, 2025 to Mar 5, 2026
- Assets in custody · $154M to $139MJul 29, 2025 to Mar 5, 2026
- HQ city · DALLAS to Jul 29, 2025 to Mar 5, 2026
- HQ state · TX to Jul 29, 2025 to Mar 5, 2026
- Other offices · 0 to 1Jul 29, 2025 to Mar 5, 2026
- Discretionary RAUM · $154M to $139MJul 29, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $154M to $139MJul 29, 2025 to Mar 5, 2026
- RAUM · $154M to $139MJul 29, 2025 to Mar 5, 2026
- Financial planning clients · unset to Mar 17, 2025 to Jul 29, 2025
- Advisory employees · 2 to 1May 14, 2024 to Mar 17, 2025
- Assets in custody · $148M to $154MMay 14, 2024 to Mar 17, 2025
- Employees · 2 to 1May 14, 2024 to Mar 17, 2025
- Other offices · 1 to 0May 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $148M to $154MMay 14, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $148M to $154MMay 14, 2024 to Mar 17, 2025
- RAUM · $148M to $154MMay 14, 2024 to Mar 17, 2025
- Assets in custody · $148M to $148MFeb 15, 2023 to Mar 4, 2024
- Discretionary RAUM · $148M to $148MFeb 15, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $148M to $148MFeb 15, 2023 to Mar 4, 2024
- RAUM · $148M to $148MFeb 15, 2023 to Mar 4, 2024
- Accounts · 3 to 80Oct 25, 2022 to Feb 15, 2023
- Advisory employees · 3 to 2Oct 25, 2022 to Feb 15, 2023
- Assets in custody · $202M to $148MOct 25, 2022 to Feb 15, 2023
- Employees · 3 to 2Oct 25, 2022 to Feb 15, 2023
- Discretionary RAUM · $202M to $148MOct 25, 2022 to Feb 15, 2023
- Pooled vehicle RAUM · $202M to $148MOct 25, 2022 to Feb 15, 2023
- RAUM · $202M to $148MOct 25, 2022 to Feb 15, 2023
- Advisory employees · 1 to 3May 24, 2022 to Sep 6, 2022
- Employees · 1 to 3May 24, 2022 to Sep 6, 2022
- HQ city · unset to DALLASMay 24, 2022 to Sep 6, 2022
- HQ state · unset to TXMay 24, 2022 to Sep 6, 2022
- Other offices · 0 to 1May 24, 2022 to Sep 6, 2022
- Accounts · 11 to 3Mar 11, 2021 to Mar 29, 2022
- Assets in custody · $163M to $202MMar 11, 2021 to Mar 29, 2022
- HQ city · SARATOGA SPRINGS to unsetMar 11, 2021 to Mar 29, 2022
- HQ state · NY to unsetMar 11, 2021 to Mar 29, 2022
- Discretionary RAUM · $163M to $202MMar 11, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $163M to $202MMar 11, 2021 to Mar 29, 2022
- RAUM · $163M to $202MMar 11, 2021 to Mar 29, 2022
- Assets in custody · $155M to $163MMay 8, 2020 to Mar 11, 2021
Signals
3 dated events
- M••• P•••••• (Cco) appeared on Schedule A of R••• A•••••••• L••Sep 6, 2022 · Control person joined · fact
- William John Honis (President And Chief Compliance Officer) no longer on Schedule A of R••• A•••••••• L•• (listed 2022-05-24, absent 2022-09-06)Sep 6, 2022 · Control person left · inference
- R••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R•••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-908-8130reportedpublic record, Form ADV, Mar 5, 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
- Asset manager (funds and pooled vehicles)deriveda 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