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

S•• C•••••• M••••••••• L•

Former SEC-registered adviserDallas, TexasCRD 173575SEC 801-114247IAPD
Latest filing Mar 31, 2022
First filing on the tape Oct 4, 2018 · 9 filings
RAUM
$193M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$193M gross assets
History
9 filings and snapshots on the tape
RAUM$193M as of Mar 31, 2022
Mar 28, 2019$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20190 then
Employees (5.A)7 as of Mar 31, 2022
Mar 28, 20196 then
Private funds6 as of Mar 31, 2022
Mar 28, 20192 then
RAUM -46% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$32.2MderivedRAUM 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
-46%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 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
  • 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)
  • 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$193M100%
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
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• C••••••• L•Hedge Fund$50.4M49Mar 31, 2015
      S•• C•••••• Q•• L•Hedge Fund$25.6M8Oct 4, 2018
      S•• S••••••••• P••••••••• Q•• L•Hedge Fund$5.4M2Oct 5, 2020
      T•••••• P••no longer reportedPrivate Equity Fund$2.6M17Mar 31, 2015
      T•••••• P••no longer reportedPrivate Equity Fund$2.4M12Mar 31, 2015
      T•••••• P••no longer reportedPrivate Equity Fund$1.5M9Mar 31, 2015
      S•• S••••••••• P••••••••• L•Hedge Fund$1.4M23Oct 5, 2020
      T•••••• P••no longer reportedPrivate Equity Fund$1.2M2Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R•••••• N•••••••• · Limited Partner, Managercontrol
        since 07/2014 · owns 25% to 50%
      • S••••• G•••••• S•••• · Limited Partner, Managercontrol
        since 07/2014 · owns 10% to 25%
      • W•••••• J•••• R•••••• · Limited Partner, Managercontrol
        since 07/2014 · owns 25% to 50%
      • C•••••• R•••••• N•••••••• · Membercontrol
        since 12/2012 · owns 25% to 50% of T•••••• I••••••••• G••••• L••
      • W•••••• J•••• R•••••• · Membercontrol
        since 12/2012 · owns 25% to 50% of T•••••• I••••••••• G••••• L••
      • R•••••• S••••••• T••••• · Manager
        since 05/2021 · owns less than 5%
      • R•••• K••••••• H•••••• · Chief Compliance Officer
        since 06/2018 · owns less than 5%
      Entity owners
      • T•••••• I••••••••• G••••• L•• · General Partner, S•• C•••••• M••••••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 6
        Aug 16, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 4 to 6
        Aug 16, 2021 to Mar 31, 2022
      • Private funds · 4 to 6
        Aug 16, 2021 to Mar 31, 2022
      • Discretionary RAUM · $355M to $193M
        Aug 16, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $355M to $193M
        Aug 16, 2021 to Mar 31, 2022
      • RAUM · $355M to $193M
        Aug 16, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 4
        May 18, 2021 to Aug 16, 2021
      • Employees · 6 to 7
        May 18, 2021 to Aug 16, 2021
      • Employees · 7 to 6
        Oct 5, 2020 to Mar 31, 2021
      • Discretionary RAUM · $334M to $355M
        Oct 5, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $334M to $355M
        Oct 5, 2020 to Mar 31, 2021
      • RAUM · $334M to $355M
        Oct 5, 2020 to Mar 31, 2021
      • Accounts · 2 to 4
        Mar 27, 2020 to Oct 5, 2020
      • Pooled vehicle clients · 2 to 4
        Mar 27, 2020 to Oct 5, 2020
      • Private funds · 2 to 4
        Mar 27, 2020 to Oct 5, 2020
      • Discretionary RAUM · $319M to $334M
        Mar 27, 2020 to Oct 5, 2020
      • Pooled vehicle RAUM · $319M to $334M
        Mar 27, 2020 to Oct 5, 2020
      • RAUM · $319M to $334M
        Mar 27, 2020 to Oct 5, 2020
      • Employees · 6 to 7
        Apr 30, 2019 to Mar 27, 2020
      • Discretionary RAUM · $269M to $319M
        Apr 30, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $269M to $319M
        Apr 30, 2019 to Mar 27, 2020
      • RAUM · $269M to $319M
        Apr 30, 2019 to Mar 27, 2020
      • Discretionary RAUM · $208M to $269M
        Mar 28, 2019 to Apr 30, 2019
      • Pooled vehicle RAUM · $208M to $269M
        Mar 28, 2019 to Apr 30, 2019
      • RAUM · $208M to $269M
        Mar 28, 2019 to Apr 30, 2019
      • Employees · 5 to 6
        Oct 4, 2018 to Mar 28, 2019
      • Private funds · 4 to 2
        Oct 4, 2018 to Mar 28, 2019
      • Discretionary RAUM · $202M to $208M
        Oct 4, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $202M to $208M
        Oct 4, 2018 to Mar 28, 2019
      • RAUM · $202M to $208M
        Oct 4, 2018 to Mar 28, 2019
      Signals
      2 dated events
      • S•• C•••••• M••••••••• L• reported RAUM $193.3M, down 46% from $354.7M (2021-08-16 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • S•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Oct 4, 2018 · First SEC registration · 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