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

H••••••• G••••• M••••••••• L••

Former SEC-registered adviserCRD 282963SEC 801-119005IAPD
Latest filing Nov 22, 2022
First filing on the tape Jun 2, 2020 · 5 filings
RAUM
$420M
reported, Item 5.F
Discretionary
97%
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$407M gross assets
History
5 filings and snapshots on the tape
RAUM$420M as of Mar 30, 2022
Mar 30, 2021$492M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 30, 20210 then
Employees (5.A)6 as of Mar 30, 2022
Mar 30, 20217 then
Private funds1 as of Mar 30, 2022
Mar 30, 20211 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 22, 2022; 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
$105MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
-15%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
$407M, 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • 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$420M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$407M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• G••••• M••••• F••• L•Hedge Fund$407M79Mar 27, 2020
      H••••••• G••••• F••• L•no longer reportedHedge Fund$115M18Mar 28, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• S•••••• E•••••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 01/2016 · owns less than 5%
      • P••••••• Z••••••• C• · Managercontrol
        since 12/2015 · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••••••• G••••• C••••••• L•
        bankpooled vehicle sponsorn
      • H••••••• G••••• S••• L•
        pooled vehicle sponsorn
      • P•••••• E••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · DALLAS to unset
        Mar 30, 2022 to Nov 22, 2022
      • HQ state · TX to unset
        Mar 30, 2022 to Nov 22, 2022
      • Advisory employees · 4 to 3
        Mar 30, 2021 to Mar 30, 2022
      • Assets in custody · $485M to $407M
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 7 to 6
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $485M to $407M
        Mar 30, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $7.3M to $12.5M
        Mar 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $492M to $420M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $492M to $420M
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 3 to 4
        Jul 15, 2020 to Mar 30, 2021
      • Assets in custody · $373M to $485M
        Jul 15, 2020 to Mar 30, 2021
      • Employees · 6 to 7
        Jul 15, 2020 to Mar 30, 2021
      • Discretionary RAUM · $373M to $485M
        Jul 15, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $3.6M to $7.3M
        Jul 15, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $377M to $492M
        Jul 15, 2020 to Mar 30, 2021
      • RAUM · $377M to $492M
        Jul 15, 2020 to Mar 30, 2021
      • Private funds · 2 to 1
        Jun 2, 2020 to Jul 15, 2020
      Signals
      2 dated events
      • H••••••• G••••• M••••••••• L•• reported RAUM $492.1M, up 31% from $376.5M (2020-07-15 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • H••••••• G••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 2, 2020 · 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