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

E••••• G••••• M••••••• ••• L••

Former SEC-registered adviserHouston, TexasCRD 172953SEC 801-80433IAPD
Latest filing May 9, 2016
First filing on the tape Sep 29, 2014 · 5 filings
RAUM
$44.2M
reported, Item 5.F
Discretionary
0.0%
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$33.7M gross assets
History
5 filings and snapshots on the tape
RAUM$33.7M as of Mar 30, 2016
Mar 25, 2015$201M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 25, 20150 then
Employees (5.A)10 as of Mar 30, 2016
Mar 25, 20156 then
Private funds1 as of Mar 30, 2016
Mar 25, 20151 then
RAUM -78% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 9, 2016; 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
$22.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-83%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• R•••••• M••••••• L•••Private Equity Fund$33.7M3Mar 25, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• A••••• K•••• · Chief Executive Officer / Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      • W••••••• L••••• M•••••• · Managing Directorcontrol
        since 09/2014 · owns less than 5%
      • P•••••• A••••• K•••• · Membercontrol
        since 04/2016 · owns 25% to 50% of E••••• G••••• M••••••• L••
      Entity owners
      • E••••• G••••• M••••••• L•• · Member
        direct · owns 75% or more
      • H••• F••••••••• · Shareholder
        indirect · owns 75% or more of H••• P•• L••••••
      • H••• P•• L•••••• · Trustee
        indirect · owns F of L•••• T••••
      • L•••• T•••• · Shareholder
        indirect · owns 75% or more of M• G••••••• L••••••
      • M• A•••••• ••• L•••••• · Shareholder
        indirect · owns 25% to 50% of E••••• G••••• M••••••• L••
      • M• G••••••• L•••••• · Shareholder
        indirect · owns 75% or more of M• A•••••• ••• L••••••
      Related persons
      Schedule D 7.A
      • E••••• G••••• M••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 30, 2016 to May 9, 2016
      • Advisory employees · 6 to 5
        Mar 30, 2016 to May 9, 2016
      • Advisory activities · 1 to 2
        Mar 30, 2016 to May 9, 2016
      • Discretionary RAUM · $33.7M to $0
        Mar 30, 2016 to May 9, 2016
      • Non-discretionary RAUM · $0 to $44.2M
        Mar 30, 2016 to May 9, 2016
      • RAUM · $33.7M to $44.2M
        Mar 30, 2016 to May 9, 2016
      • Business name · F•••• R•••••• M••••••• ••• L•• to E••••• G••••• M••••••• ••• L••
        Dec 23, 2015 to Mar 30, 2016
      • Employees · 6 to 10
        Dec 23, 2015 to Mar 30, 2016
      • Legal name · F•••• R•••••• M••••••• ••• L•• to E••••• G••••• M••••••• ••• L••
        Dec 23, 2015 to Mar 30, 2016
      • Discretionary RAUM · $201M to $33.7M
        Dec 23, 2015 to Mar 30, 2016
      • RAUM · $201M to $33.7M
        Dec 23, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 6
        Sep 29, 2014 to Mar 25, 2015
      • Business name · F•••• R•••••• M••••••• L•• to F•••• R•••••• M••••••• ••• L••
        Sep 29, 2014 to Mar 25, 2015
      • Employees · 5 to 6
        Sep 29, 2014 to Mar 25, 2015
      • Legal name · F•••• R•••••• M••••••• L•• to F•••• R•••••• M••••••• ••• L••
        Sep 29, 2014 to Mar 25, 2015
      • Private funds · unset to 1
        Sep 29, 2014 to Mar 25, 2015
      Signals
      1 dated events
      • F•••• R•••••• M••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 29, 2014 · ria f•••• adv filing · 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