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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I•••• A•••••••• L••

Former SEC-registered adviserHouston, TexasCRD 173743SEC 801-116800IAPD
Latest filing Jul 7, 2020
First filing on the tape May 16, 2019 · 4 filings
RAUM
$136M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$136M gross assets
History
4 filings and snapshots on the tape
RAUM$136M as of Jul 7, 2020
May 16, 2019$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 7, 2020
May 16, 20190 then
Employees (5.A)5 as of Jul 7, 2020
May 16, 20195 then
Private funds2 as of Jul 7, 2020
May 16, 20193 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 7, 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
$45.3MderivedRAUM 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
unknownderivedbetween 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
Custody
$136M, 3 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$136M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$136M for 3 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•• G••••• L•Hedge Fund$123M15May 16, 2019
      G•• M••••• F••• I• L•no longer reportedHedge Fund$31.9M2May 16, 2019
      G•• M••••• F••• I• L••no longer reportedHedge Fund$31.9M1May 16, 2019
      S•••••••• O••••••••• F•••• L••Hedge Fund$3.3M8Feb 28, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• C••••••• C•••••••• · Chief Investment Officercontrol
        since 07/2019 · owns less than 5%
      • D• L• V••• F•••••• P••••••• · Treasurercontrol
        since 01/2019 · owns less than 5%
      • M••••••• D•• R•• T••••• E•••••• · President And Chief Executive Officercontrol
        since 01/2019 · owns less than 5%
      Entity owners
      • P•••••••• I••••••••• · Shareholder
        direct · owns 75% or more
      • C••••••••• G••• S••••• D• C• V• · Shareholder
        indirect · owns 75% or more of P•••••••• I•••••••••
      Related persons
      Schedule D 7.A
      Advisers that list I•••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Oct 11, 2019 to Feb 28, 2020
      • Pooled vehicle clients · 2 to 3
        Oct 11, 2019 to Feb 28, 2020
      • Assets in custody · $121M to $136M
        Oct 11, 2019 to Feb 28, 2020
      • Private funds · 1 to 2
        Oct 11, 2019 to Feb 28, 2020
      • Discretionary RAUM · $121M to $136M
        Oct 11, 2019 to Feb 28, 2020
      • Pooled vehicle RAUM · $121M to $136M
        Oct 11, 2019 to Feb 28, 2020
      • RAUM · $121M to $136M
        Oct 11, 2019 to Feb 28, 2020
      • Accounts · 4 to 2
        May 16, 2019 to Oct 11, 2019
      • Pooled vehicle clients · 4 to 2
        May 16, 2019 to Oct 11, 2019
      • Assets in custody · $167M to $121M
        May 16, 2019 to Oct 11, 2019
      • Private funds · 3 to 1
        May 16, 2019 to Oct 11, 2019
      • Discretionary RAUM · $167M to $121M
        May 16, 2019 to Oct 11, 2019
      • Pooled vehicle RAUM · $167M to $121M
        May 16, 2019 to Oct 11, 2019
      • RAUM · $167M to $121M
        May 16, 2019 to Oct 11, 2019
      Signals
      5 dated events
      • R•••••• A•••••• B•••••• (Secretary) no longer on Schedule A of I•••• A•••••••• L•• (listed 2020-02-28, absent 2020-07-07)
        Jul 7, 2020 · Control person left · inference
      • J••••• S••••• D••••• (Chief Compliance Officer) no longer on Schedule A of I•••• A•••••••• L•• (listed 2019-10-11, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • C•••••••• C••••••••• C•••••• (Chief Investment Officer) appeared on Schedule A of I•••• A•••••••• L••
        Oct 11, 2019 · Control person joined · fact
      • J••• M••••• F••••• Von M••• (Chief Investment Officer) no longer on Schedule A of I•••• A•••••••• L•• (listed 2019-05-16, absent 2019-10-11)
        Oct 11, 2019 · Control person left · inference
      • I•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 16, 2019 · 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