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
1••• P••••••• M••••••••• L•
Latest filing Apr 27, 2022
First filing on the tape Oct 22, 2014 · 24 filings
RAUM
$96.9M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$96.9M gross assets
History
24 filings and snapshots on the tape
RAUM$88.7M as of Mar 29, 2022
Mar 27, 2015$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 27, 20150 then
Employees (5.A)4 as of Mar 29, 2022
Mar 27, 20159 then
Private funds6 as of Mar 29, 2022
Mar 27, 20153 then
RAUM -60% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 2022; 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
- $16.1MderivedRAUM 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
- -63%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $96.9M, 6 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$96.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $96.9M for 6 clientsreported
- Compensation
- fixed, 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
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Z•• V•••••••• L•••no longer reported | Private Equity Fund | $995M | 1 | Oct 22, 2014 |
| Z•• V•••••••• L•••••no longer reported | Private Equity Fund | $171M | 4 | Oct 22, 2014 |
| 1••• P•••••••• L• | Private Equity Fund | $52.1M | 18 | Mar 30, 2016 |
| C• V••••••• H•••••••• L••no longer reported | Hedge Fund | $34.4M | 1 | Oct 22, 2014 |
| 1••• ••••••••• P••••••• I• L• | Private Equity Fund | $18.8M | 12 | Mar 30, 2016 |
| 1••••••• P•••••••• L• | Private Equity Fund | $5.1M | 11 | Mar 27, 2020 |
| 1••• ••• P•••••••• L• | Private Equity Fund | $3.6M | 2 | Mar 30, 2016 |
| 1••••••• P•••••••• L• | Private Equity Fund | $0 | 0 | Mar 30, 2018 |
| 1••••••• ••••••••• P••••••• I• L• | Private Equity Fund | $0 | 0 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• R•••••• · Limited Partner; Managing Directorcontrolsince 10/2014 · owns 25% to 50%
- P•••••• D•••••• B•••• · Limited Partner; Managing Directorcontrolsince 10/2014 · owns 25% to 50%
- W••••••• N•••• A••• · Limited Partner; Managing Directorcontrolsince 06/2014 · owns 25% to 50%
- B•••••• B••••• R•••••• · Membercontrolsince 06/2014 · owns 25% to 50% of 1••• P••••••• M••••••••• G•• L••
- P•••••• D•••••• B•••• · Membercontrolsince 06/2014 · owns 25% to 50% of 1••• P••••••• M••••••••• G•• L••
- W••••••• N•••• A••• · Membercontrolsince 06/2014 · owns 25% to 50% of 1••• P••••••• M••••••••• G•• L••
- C••••• B••••• S•••• · Chief Financial Officer And Chief Compliance Officersince 10/2014 · owns less than 5%
Entity owners
- 1••• P••••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- 1••• P••••••• G•• L••investment adviserbankpooled vehicle sponsory
- 1••••••• P••••••• G•• L••investment adviserbankpooled vehicle sponsory
- 1••••••• P••••••• G•• L••investment adviserbankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Assets in custody · $88.7M to $96.9MMar 29, 2022 to Apr 27, 2022
- Discretionary RAUM · $88.7M to $96.9MMar 29, 2022 to Apr 27, 2022
- Pooled vehicle RAUM · $88.7M to $96.9MMar 29, 2022 to Apr 27, 2022
- RAUM · $88.7M to $96.9MMar 29, 2022 to Apr 27, 2022
- Assets in custody · $112M to $88.7MNov 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $112M to $88.7MNov 10, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $112M to $88.7MNov 10, 2021 to Mar 29, 2022
- RAUM · $112M to $88.7MNov 10, 2021 to Mar 29, 2022
- Advisory employees · 4 to 3Apr 29, 2021 to Nov 10, 2021
- Assets in custody · $249M to $112MApr 29, 2021 to Nov 10, 2021
- Employees · 6 to 4Apr 29, 2021 to Nov 10, 2021
- Discretionary RAUM · $252M to $112MApr 29, 2021 to Nov 10, 2021
- Pooled vehicle RAUM · $252M to $112MApr 29, 2021 to Nov 10, 2021
- RAUM · $252M to $112MApr 29, 2021 to Nov 10, 2021
- Assets in custody · $238M to $249MMar 30, 2021 to Apr 29, 2021
- Discretionary RAUM · $240M to $252MMar 30, 2021 to Apr 29, 2021
- Pooled vehicle RAUM · $240M to $252MMar 30, 2021 to Apr 29, 2021
- RAUM · $240M to $252MMar 30, 2021 to Apr 29, 2021
- Assets in custody · $573M to $238MJul 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $593M to $240MJul 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $593M to $240MJul 30, 2020 to Mar 30, 2021
- RAUM · $593M to $240MJul 30, 2020 to Mar 30, 2021
- HQ city · NEW YORK to KINGS PARKJul 1, 2020 to Jul 30, 2020
- Employees · 7 to 6Apr 29, 2020 to Jul 1, 2020
- Assets in custody · $758M to $573MMar 27, 2020 to Apr 29, 2020
- Discretionary RAUM · $778M to $593MMar 27, 2020 to Apr 29, 2020
- Pooled vehicle RAUM · $778M to $593MMar 27, 2020 to Apr 29, 2020
- RAUM · $778M to $593MMar 27, 2020 to Apr 29, 2020
- Accounts · 5 to 6Apr 29, 2019 to Mar 27, 2020
- Pooled vehicle clients · 5 to 6Apr 29, 2019 to Mar 27, 2020
- Assets in custody · $791M to $758MApr 29, 2019 to Mar 27, 2020
- Private funds · 5 to 6Apr 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $810M to $778MApr 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $810M to $778MApr 29, 2019 to Mar 27, 2020
- RAUM · $810M to $778MApr 29, 2019 to Mar 27, 2020
- Assets in custody · $735M to $791MMar 28, 2019 to Apr 29, 2019
- Discretionary RAUM · $754M to $810MMar 28, 2019 to Apr 29, 2019
- Pooled vehicle RAUM · $754M to $810MMar 28, 2019 to Apr 29, 2019
- RAUM · $754M to $810MMar 28, 2019 to Apr 29, 2019
- Assets in custody · $793M to $735MApr 23, 2018 to Mar 28, 2019
Signals
5 dated events
- 1••• P••••••• M••••••••• L• reported RAUM $111.7M, down 56% from $251.6M (2021-04-29 to 2021-11-10)Nov 10, 2021 · RAUM change · derived
- Edward Robert Hougie (Limited Partner; Managing Director) no longer on Schedule A of 1••• P••••••• M••••••••• L• (listed 2021-04-29, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- 1••• P••••••• M••••••••• L• reported RAUM $239.7M, down 60% from $592.8M (2020-07-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- 1••• P••••••• M••••••••• L• reported RAUM $848.7M, up 43% from $593.2M (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- 1••• P••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 22, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1••• P••••••• M••••••••• L• · Private Equityshared crd · organization
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