DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 172986SEC 801-80366IAPD
Latest filing Mar 30, 2020
First filing on the tape Sep 16, 2014 · 11 filings
RAUM
$290M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$187M gross assets
History
11 filings and snapshots on the tape
RAUM$290M as of Mar 30, 2020
Mar 31, 2015$87.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 31, 20150 then
Employees (5.A)8 as of Mar 30, 2020
Mar 31, 20156 then
Private funds1 as of Mar 30, 2020
Mar 31, 20151 then
RAUM +26% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$72.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
36%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
+26%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, performance-basedreportedItem 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
  • 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)
  • 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$187M64%
  • Pension and profit-sharing plans$103M36%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      C••••••••• M••••• F•••• L•••Hedge Fund$187M37Sep 16, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• L••••••• S•••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 08/2014 · owns less than 5%
      • G••••••• C••••••••• J••••••• · Managing Member And Presidentcontrol
        since 08/2014 · owns 75% or more
      • M••••• J••••••••• R•••• · Chief Operating Officercontrol
        since 01/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••••• C•••••• G•• L•••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $230M to $290M
        Mar 29, 2019 to Mar 30, 2020
      • Pension RAUM · $73.8M to $103M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $156M to $187M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $230M to $290M
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 7 to 5
        Apr 13, 2018 to Mar 29, 2019
      • Employees · 10 to 8
        Apr 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $302M to $230M
        Apr 13, 2018 to Mar 29, 2019
      • Pension RAUM · $80.9M to $73.8M
        Apr 13, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $222M to $156M
        Apr 13, 2018 to Mar 29, 2019
      • RAUM · $302M to $230M
        Apr 13, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 7
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 7 to 10
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $233M to $302M
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 80895705.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 221559318.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $233M to $302M
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 6 to 4
        Apr 15, 2016 to Mar 31, 2017
      • Employees · 8 to 7
        Apr 15, 2016 to Mar 31, 2017
      • Discretionary RAUM · $213M to $233M
        Apr 15, 2016 to Mar 31, 2017
      • RAUM · $213M to $233M
        Apr 15, 2016 to Mar 31, 2017
      • Accounts · 2 to 4
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 6 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $87.7M to $213M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $87.7M to $213M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 4
        Oct 29, 2014 to Mar 31, 2015
      • Employees · 5 to 6
        Oct 29, 2014 to Mar 31, 2015
      • Discretionary RAUM · $75.0M to $87.7M
        Oct 29, 2014 to Mar 31, 2015
      • RAUM · $75.0M to $87.7M
        Oct 29, 2014 to Mar 31, 2015
      • Accounts · 0 to 2
        Sep 30, 2014 to Oct 29, 2014
      • Discretionary RAUM · $0 to $75.0M
        Sep 30, 2014 to Oct 29, 2014
      • RAUM · $0 to $75.0M
        Sep 30, 2014 to Oct 29, 2014
      Signals
      2 dated events
      • R•••• P•••••• O•••••• (Partner & Senior Analyst) no longer on Schedule A of C••••••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • C••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 16, 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