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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SEC-registered adviser
I••••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 28, 2018 · 10 filings
SEC status approved since Jul 31, 2018
RAUM
$323M
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
$323M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$323M as of Mar 31, 2026
Mar 27, 2019$152M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20190 then
Employees (5.A)6 as of Mar 31, 2026
Mar 27, 20196 then
Private funds7 as of Mar 31, 2026
Mar 27, 20192 then
RAUM +5.3% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $323MderivedRAUM 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
- $46.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%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
- Custody
- yesreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$323M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•••• C••••Chartered Financial Analyst | Houston, Tx | Jul 31, 2018 | 31 y | 1 |
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
- R••••• L•••• C•••• from C••••• S••••• S••••••••• •••• L••Jul 31, 2018 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• P•••••• E••••• S••••• L• | Private Equity Fund | $101M | 9 | Mar 28, 2018 |
| I••••••• P•••••• E••••• F••• I• L• | Private Equity Fund | $81.2M | 70 | Feb 3, 2017 |
| I••••••• P•••••• E••••• F••• I•• L••• | Private Equity Fund | $37.5M | 21 | Mar 27, 2024 |
| I••••••• V•••••• I• L••• | Venture Capital Fund | $20.7M | 42 | Mar 31, 2022 |
| I••••••• P•••••• E••••• S••••••• L••• | Private Equity Fund | $17.0M | 4 | Apr 27, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M••••• H•••• E••••• · Co-Founder, Chief Executive Officercontrolsince 01/2015 · owns less than 5%
- W••••••••• C••••••••• F•••••• · Co-Founder, President, Chief Operating Officer, Chief Compliance Officercontrolsince 11/2014 · owns less than 5%
- M••••• H•••• E••••• · Chief Executive Officercontrolsince 01/2015 · owns F of I••••••• F•••••••• P•••••••• L•••••
- K•••••• K••• · Chief Financial Officersince 02/2020 · owns less than 5%
Entity owners
- I••••••• F•••••••• P•••••••• L••••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- I••••••• P•••••••• L••broker-dealern
- I••••••• P•••••• E••••• F••• G•• L••pooled vehicle sponsorn
- I••••••• P•••••• E••••• F••• I• G•• L••pooled vehicle sponsorn
- I••••••• V•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Employees · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $307M to $323MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $307M to $323MMar 31, 2025 to Mar 31, 2026
- RAUM · $307M to $323MMar 31, 2025 to Mar 31, 2026
- Accounts · 5 to 7Nov 20, 2024 to Mar 31, 2025
- Advisory employees · 5 to 6Nov 20, 2024 to Mar 31, 2025
- BD registered reps · 5 to 6Nov 20, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 7Nov 20, 2024 to Mar 31, 2025
- Employees · 6 to 7Nov 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 20, 2024 to Mar 31, 2025
- Private funds · 5 to 7Nov 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $257M to $307MNov 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $257M to $307MNov 20, 2024 to Mar 31, 2025
- RAUM · $257M to $307MNov 20, 2024 to Mar 31, 2025
- Accounts · 4 to 5Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 5Mar 30, 2023 to Mar 27, 2024
- Private funds · 4 to 5Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $220M to $257MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $220M to $257MMar 30, 2023 to Mar 27, 2024
- RAUM · $220M to $257MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $200M to $220MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $200M to $220MMar 31, 2022 to Mar 30, 2023
- RAUM · $200M to $220MMar 31, 2022 to Mar 30, 2023
- Accounts · 3 to 4Apr 27, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Apr 27, 2021 to Mar 31, 2022
- Private funds · 3 to 4Apr 27, 2021 to Mar 31, 2022
- Discretionary RAUM · $179M to $200MApr 27, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $179M to $200MApr 27, 2021 to Mar 31, 2022
- RAUM · $179M to $200MApr 27, 2021 to Mar 31, 2022
- Accounts · 2 to 3Mar 31, 2020 to Apr 27, 2021
- Advisory employees · 6 to 5Mar 31, 2020 to Apr 27, 2021
- Pooled vehicle clients · 2 to 3Mar 31, 2020 to Apr 27, 2021
- Employees · 7 to 6Mar 31, 2020 to Apr 27, 2021
- Private funds · 2 to 3Mar 31, 2020 to Apr 27, 2021
- Discretionary RAUM · $162M to $179MMar 31, 2020 to Apr 27, 2021
- Pooled vehicle RAUM · $162M to $179MMar 31, 2020 to Apr 27, 2021
- RAUM · $162M to $179MMar 31, 2020 to Apr 27, 2021
- Advisory employees · 5 to 6Mar 27, 2019 to Mar 31, 2020
- Employees · 6 to 7Mar 27, 2019 to Mar 31, 2020
- Discretionary RAUM · $152M to $162MMar 27, 2019 to Mar 31, 2020
Signals
1 dated events
- I••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- I••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
- I••••••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- I•••••••FP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-292-0863reportedpublic record, Form ADV, Mar 31, 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
- $323Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026