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
M••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 6, 2015 · 24 filings
SEC status approved since Oct 15, 2015
RAUM
$1.4B
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
$1.4B
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Feb 5, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 5, 20160 then
Employees (5.A)8 as of Mar 31, 2026
Feb 5, 20162 then
Private funds12 as of Mar 31, 2026
Feb 5, 20161 then
RAUM +5.1% over the last fiscal year-5.7% 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.4BderivedRAUM 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
- $114MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 12 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)
- 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$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• W•••• O•Chartered Financial Analyst | Houston, Tx | Dec 7, 2015 | 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• C•••••• P••••••• I•• L• | Private Equity Fund | $576M | 34 | Mar 25, 2020 |
| M••••••• C•••••• P••••••• N••• L• | Private Equity Fund | $295M | 9 | Feb 16, 2016 |
| M••••••• C•••••• P•••••••• L• | Private Equity Fund | $273M | 21 | Oct 6, 2015 |
| H•••••••• C••• L• | Private Equity Fund | $59.4M | 3 | Mar 28, 2024 |
| B•••••• C••• L• | Private Equity Fund | $54.7M | 16 | Mar 21, 2018 |
| M••••••• C•••••• P••••••• I•••• L• | Private Equity Fund | $50.7M | 2 | Mar 31, 2023 |
| E•••••••• C••• L• | Private Equity Fund | $34.0M | 6 | Sep 27, 2017 |
| C•• C••• L• | Private Equity Fund | $16.6M | 2 | Sep 27, 2017 |
| B•••••• N•• C••• L• | Private Equity Fund | $14.7M | 8 | Mar 21, 2018 |
| H•••••••• C••••• L• | Private Equity Fund | $10.6M | 1 | Mar 28, 2024 |
| S••••••••• C••• L• | Private Equity Fund | $5.9M | 2 | Mar 30, 2022 |
| P•••••• C••• L• | Private Equity Fund | $5.0M | 2 | Mar 31, 2023 |
| R••••••••• I• C••• L• | Private Equity Fund | $2.9M | 2 | Mar 25, 2020 |
| R••••••••• C••• L• | Private Equity Fund | $2.7M | 4 | Mar 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- O•• S•••••• W•••• · President And Chief Investment Officercontrolsince 09/2015 · owns 75% or more
- S••••••• M••••••• R•••••• · General Counsel, Cco & Svpcontrolsince 09/2023 · owns less than 5%
Related persons
Schedule D 7.A
- B•••••• C•• G•• L••pooled vehicle sponsorn
- B•••••• N•• C•• G•• L••pooled vehicle sponsorn
- C•• C•• G•• L••pooled vehicle sponsorn
- E•••••••• C•• G•• L••pooled vehicle sponsorn
- M• M••••••••• G•• L••pooled vehicle sponsorn
- M••••••• C•••••• M••••••••• G•• L•pooled vehicle sponsorn
- M••••••• C•••••• M••••••••• I• G•• L•pooled vehicle sponsorn
- M••••••• C•••••• M••••••••• N•• G•• L•pooled vehicle sponsorn
- R••••••••• C•• G•• L••pooled vehicle sponsorn
- R••••••••• I• C•• G•• L••pooled vehicle sponsorn
- S••••••••• C•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-25, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Apr 25, 2025 to Mar 31, 2026
- Assets in custody · $1.3B to $1.4BApr 25, 2025 to Mar 31, 2026
- Custody of client assets · false to trueApr 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.4BApr 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BApr 25, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.4BApr 25, 2025 to Mar 31, 2026
- Accounts · 13 to 12Aug 23, 2024 to Apr 25, 2025
- Advisory employees · 9 to 6Aug 23, 2024 to Apr 25, 2025
- Pooled vehicle clients · 13 to 12Aug 23, 2024 to Apr 25, 2025
- Assets in custody · $1.4B to $1.3BAug 23, 2024 to Apr 25, 2025
- Employees · 12 to 8Aug 23, 2024 to Apr 25, 2025
- Financial planning clients · unset to Aug 23, 2024 to Apr 25, 2025
- Private funds · 13 to 12Aug 23, 2024 to Apr 25, 2025
- Discretionary RAUM · $1.4B to $1.3BAug 23, 2024 to Apr 25, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BAug 23, 2024 to Apr 25, 2025
- RAUM · $1.4B to $1.3BAug 23, 2024 to Apr 25, 2025
- Accounts · 12 to 13Oct 13, 2023 to Mar 28, 2024
- Pooled vehicle clients · 12 to 13Oct 13, 2023 to Mar 28, 2024
- Assets in custody · unset to 1399450389.0Oct 13, 2023 to Mar 28, 2024
- Private funds · 12 to 13Oct 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.6B to $1.4BOct 13, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.6B to $1.4BOct 13, 2023 to Mar 28, 2024
- RAUM · $1.6B to $1.4BOct 13, 2023 to Mar 28, 2024
- Accounts · 11 to 12Mar 31, 2023 to Apr 14, 2023
- Advisory employees · 8 to 9Mar 31, 2023 to Apr 14, 2023
- Pooled vehicle clients · 11 to 12Mar 31, 2023 to Apr 14, 2023
- Employees · 11 to 12Mar 31, 2023 to Apr 14, 2023
- Discretionary RAUM · $1.6B to $1.6BMar 31, 2023 to Apr 14, 2023
- Pooled vehicle RAUM · $1.6B to $1.6BMar 31, 2023 to Apr 14, 2023
- RAUM · $1.6B to $1.6BMar 31, 2023 to Apr 14, 2023
- Accounts · 10 to 11Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 10 to 11Mar 30, 2022 to Mar 31, 2023
- Private funds · 10 to 12Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.6B to $1.6BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.6B to $1.6BMar 30, 2022 to Mar 31, 2023
- RAUM · $1.6B to $1.6BMar 30, 2022 to Mar 31, 2023
- Accounts · 9 to 10Mar 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · 9 to 10Mar 29, 2021 to Mar 30, 2022
- Private funds · 9 to 10Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.5B to $1.6BMar 29, 2021 to Mar 30, 2022
Signals
4 dated events
- Goodloe Kara Harling (Chief Compliance Officer And Senior Managing Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2023-10-13, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Drew John Wehrle (Senior Managing Director) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- M••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 48% from $877.9M (2019-03-20 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- M••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Oct 6, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- M••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- M••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- M•••••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-357-9660reportedpublic 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026