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Former SEC-registered adviserFormer SEC adviser· Dallas, Texas

Former SEC-registered adviser, based in Dallas, Texas, reporting $248M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$248M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-47%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 174300 · SEC 801-107952 · 8 filingsShow
CRD 174300SEC 801-107952First filing on the tape Jun 2, 2016, latest Feb 21, 2020IAPD
RAUM
$248M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$248M as of Feb 21, 2020
Mar 3, 2017$304M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 21, 2020
Mar 3, 20170 then
Employees (5.A)3 as of Feb 21, 2020
Mar 3, 20174 then
Private funds: no history
RAUM -47% over the last fiscal year-6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 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
$124MderivedRAUM 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
-47%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$248M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• D•••••• J•••••• · Managing Member, Chief Investment Officer, And Chief Compliance Officercontrol
        since 12/2014 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York City, NY1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $464M to $248M
        Sep 12, 2019 to Feb 21, 2020
      • Pooled vehicle RAUM · $464M to $248M
        Sep 12, 2019 to Feb 21, 2020
      • RAUM · $464M to $248M
        Sep 12, 2019 to Feb 21, 2020
      • Accounts · 1 to 2
        Feb 4, 2019 to Mar 6, 2019
      • Pooled vehicle clients · 1 to 2
        Feb 4, 2019 to Mar 6, 2019
      • Accounts · 2 to 1
        Feb 13, 2018 to Feb 4, 2019
      • Advisory employees · 4 to 3
        Feb 13, 2018 to Feb 4, 2019
      • Employees · 4 to 3
        Feb 13, 2018 to Feb 4, 2019
      • HQ city · NEW YORK to DALLAS
        Feb 13, 2018 to Feb 4, 2019
      • HQ state · NY to TX
        Feb 13, 2018 to Feb 4, 2019
      • Other offices · 0 to 1
        Feb 13, 2018 to Feb 4, 2019
      • Discretionary RAUM · $298M to $464M
        Feb 13, 2018 to Feb 4, 2019
      • Pooled vehicle RAUM · $298M to $464M
        Feb 13, 2018 to Feb 4, 2019
      • RAUM · $298M to $464M
        Feb 13, 2018 to Feb 4, 2019
      • Charity clients · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • Corporate clients · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • HNW clients · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • Individual clients · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • Pension plan clients · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • Pooled vehicle clients · unset to 1.0
        Jun 5, 2017 to Feb 13, 2018
      • Other offices · unset to 0.0
        Jun 5, 2017 to Feb 13, 2018
      • Discretionary RAUM · $304M to $298M
        Jun 5, 2017 to Feb 13, 2018
      • Pooled vehicle RAUM · unset to 297918415.0
        Jun 5, 2017 to Feb 13, 2018
      • RAUM · $304M to $298M
        Jun 5, 2017 to Feb 13, 2018
      • Advisory employees · 3 to 4
        Jun 2, 2016 to Mar 3, 2017
      • Employees · 3 to 4
        Jun 2, 2016 to Mar 3, 2017
      • Discretionary RAUM · $294M to $304M
        Jun 2, 2016 to Mar 3, 2017
      • RAUM · $294M to $304M
        Jun 2, 2016 to Mar 3, 2017
      Signals
      4 dated events
      • ••• Locked
        Feb 21, 2020 · RAUM change · derived
      • ••• Locked
        Feb 4, 2019 · RAUM change · derived
      • ••• Locked
        Mar 3, 2017 · ria registration change · fact
      • ••• Locked
        Jun 2, 2016 · 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