DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• C•••••• P••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Oct 14, 2015 · 16 filings
SEC status approved since Oct 19, 2015
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$106M as of Mar 16, 2026
Mar 30, 2016$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 30, 20160 then
Employees (5.A)4 as of Mar 16, 2026
Mar 30, 20163 then
Private funds1 as of Mar 16, 2026
Mar 30, 20162 then
RAUM -14% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $106MderivedRAUM 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
- $106MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$106M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• O••• T••••• | Houston, Tx | Jan 11, 2016 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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••••••• ••• E••••• C••••••• L• | Private Equity Fund | $131M | 9 | Oct 14, 2015 |
| S• E••••• C•••••• L•••••• P••••••••• | Private Equity Fund | $331,744 | 17 | Oct 14, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• R•••••• C•••••• · Managing Director And Chief Compliance Officercontrolsince 11/2014 · owns 25% to 50%
- H•••••• D•••••• R•• · Managing Directorcontrolsince 11/2014 · owns 25% to 50%
- T•••••• T••••••• O••• · Managing Directorcontrolsince 11/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••••• C•••••• H••••••• L•pooled vehicle sponsorn
- A••••••• C•••••• P••••••• ••• I•••investment advisern
- S• C•••••• P••••••• I•••investment adviserpooled vehicle sponsorn
- T••••• E••••• H•••••••• I•••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Houston, TX2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-25, no on the filing of 2026-03-16peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 25, 2025 to Mar 16, 2026
- Pooled vehicle clients · 2 to 1Mar 25, 2025 to Mar 16, 2026
- Assets in custody · 123353230.0 to unsetMar 25, 2025 to Mar 16, 2026
- Custody of client assets · true to falseMar 25, 2025 to Mar 16, 2026
- Private funds · 2 to 1Mar 25, 2025 to Mar 16, 2026
- Discretionary RAUM · $123M to $106MMar 25, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $123M to $106MMar 25, 2025 to Mar 16, 2026
- RAUM · $123M to $106MMar 25, 2025 to Mar 16, 2026
- Assets in custody · $131M to $123MMar 25, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 25, 2025
- HQ city · unset to Mar 25, 2024 to Mar 25, 2025
- HQ state · unset to Mar 25, 2024 to Mar 25, 2025
- State-registered IARs · 0 to 1Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $131M to $123MMar 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $131M to $123MMar 25, 2024 to Mar 25, 2025
- RAUM · $131M to $123MMar 25, 2024 to Mar 25, 2025
- Assets in custody · $153M to $131MMar 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $153M to $131MMar 22, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $153M to $131MMar 22, 2023 to Mar 25, 2024
- RAUM · $153M to $131MMar 22, 2023 to Mar 25, 2024
- Assets in custody · $131M to $153MMar 22, 2022 to Mar 22, 2023
- HQ city · CALGARY, ALBERTA to unsetMar 22, 2022 to Mar 22, 2023
- Discretionary RAUM · $151M to $153MMar 22, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $151M to $153MMar 22, 2022 to Mar 22, 2023
- RAUM · $151M to $153MMar 22, 2022 to Mar 22, 2023
- Assets in custody · unset to 131322548.0Jun 9, 2021 to Mar 22, 2022
- Custody of client assets · false to trueJun 9, 2021 to Mar 22, 2022
- Discretionary RAUM · $131M to $151MJun 9, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $131M to $151MJun 9, 2021 to Mar 22, 2022
- RAUM · $131M to $151MJun 9, 2021 to Mar 22, 2022
- Discretionary RAUM · $234M to $131MMay 15, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $234M to $131MMay 15, 2020 to Mar 26, 2021
- RAUM · $234M to $131MMay 15, 2020 to Mar 26, 2021
- Assets in custody · 277228508.0 to unsetMar 29, 2019 to Mar 30, 2020
- Custody of client assets · true to falseMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $277M to $234MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $277M to $234MMar 29, 2019 to Mar 30, 2020
- RAUM · $277M to $234MMar 29, 2019 to Mar 30, 2020
- Assets in custody · $163M to $277MMar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $163M to $277MMar 28, 2018 to Mar 29, 2019
Signals
3 dated events
- A••••••• C•••••• P••••••• I••• reported RAUM $130.6M, down 44% from $233.6M (2020-05-15 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- A••••••• C•••••• P••••••• I••• reported RAUM $277.2M, up 70% from $163.1M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A••••••• C•••••• P••••••• I••• filed its initial SEC registration (Form ADV)Oct 14, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• C•••••• P••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 403-261-4239reportedpublic record, Form ADV, Mar 16, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026