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
C•• P••••••• R••••••••• S•••••••
Legal name C••••• L••
Latest filing Apr 13, 2018
First filing on the tape May 12, 2015 · 10 filings
RAUM
$285M
reported, Item 5.F
Discretionary
27%
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$285M as of Apr 13, 2018
May 12, 2015$0 then
HNW client RAUM$0 as of Apr 13, 2018
Jan 17, 2018$0 then
State-registered IARs (5.B.3)2 as of Apr 13, 2018
May 12, 20151 then
Employees (5.A)4 as of Apr 13, 2018
May 12, 20151 then
Private funds: no history
Practice profile
derived from the filing of Apr 13, 2018; every figure names its basis
- RAUM per advisor
- $143MderivedRAUM 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
- $7.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$285M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 39reported
- Charitable clients
- 0reported
- Accounts
- 39reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- J••••••• M••• T•••••• to R••••••••• A•• W••••• A• A••••••• L••Jul 9, 2018 · Other
- D••• P•••••• W•••••• to R••••••••• A•• W••••• A• A••••••• L••Jul 9, 2018 · Other
- D•••• N•••••• G•••••• to K••••• A••••••• S•••••••• L••Mar 30, 2017 · Other
Joined, latest
- J••••••• M••• T•••••• from K••••• A••••••• S•••••••• L••Apr 12, 2018 · Other
- D•••• N•••••• G•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 21, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R••••••••• A•• W••••• A• A••••••• L••Jul 9, 2018 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• A••••• A•••• · Member; Chief Compliance Officercontrolsince 03/2015 · owns 10% to 25%
- S••••• C••••• L•• · Managing Membercontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
- C••• S•••• C•••••••• I•••••••• S•••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Feb 20, 2018 to Apr 13, 2018
- Employees · 3 to 4Feb 20, 2018 to Apr 13, 2018
- State-registered IARs · 1 to 2Feb 20, 2018 to Apr 13, 2018
- Accounts · 0 to 39Oct 14, 2015 to Jan 17, 2018
- Advisory employees · 1 to 3Oct 14, 2015 to Jan 17, 2018
- BD registered reps · 1 to 0Oct 14, 2015 to Jan 17, 2018
- Charity clients · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Corporate clients · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- HNW clients · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Individual clients · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Pension plan clients · unset to 39.0Oct 14, 2015 to Jan 17, 2018
- Pooled vehicle clients · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Custody of client assets · true to falseOct 14, 2015 to Jan 17, 2018
- Employees · 1 to 3Oct 14, 2015 to Jan 17, 2018
- Insurance-licensed employees · 1 to 0Oct 14, 2015 to Jan 17, 2018
- Other offices · unset to 1.0Oct 14, 2015 to Jan 17, 2018
- Discretionary RAUM · $0 to $76.3MOct 14, 2015 to Jan 17, 2018
- HNW RAUM · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Individual RAUM · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- Non-discretionary RAUM · $0 to $209MOct 14, 2015 to Jan 17, 2018
- Pension RAUM · unset to 285373556.0Oct 14, 2015 to Jan 17, 2018
- Pooled vehicle RAUM · unset to 0.0Oct 14, 2015 to Jan 17, 2018
- RAUM · $0 to $285MOct 14, 2015 to Jan 17, 2018
- Related adviser · true to falseOct 14, 2015 to Jan 17, 2018
- Business name · C••••• L•• to C•• P••••••• R••••••••• S•••••••• L••Aug 17, 2015 to Sep 25, 2015
- Related broker-dealer · true to falseAug 17, 2015 to Sep 25, 2015
- Business name · C•• P••••••• R••••••••• S•••••••• L•• to C•• P••••••• R••••••••• S•••••••Sep 25, 2015 to Sep 25, 2015
- Related adviser · false to trueJul 7, 2015 to Aug 17, 2015
- Related broker-dealer · false to trueJul 7, 2015 to Aug 17, 2015
Signals
1 dated events
- C•• P••••••• R••••••••• S••••••• filed its initial SEC registration (Form ADV)Jan 17, 2018 · 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