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Former SEC-registered adviser

R••••••• R•••• C•••••• M••••••••• L•

Former SEC-registered adviserDallas, TexasCRD 282997SEC 801-120696IAPD
Latest filing Mar 29, 2023
First filing on the tape Mar 3, 2021 · 5 filings
RAUM
$106M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$106M gross assets
History
5 filings and snapshots on the tape
RAUM$106M as of Mar 29, 2023
Mar 31, 2022$126M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 31, 20220 then
Employees (5.A)2 as of Mar 29, 2023
Mar 31, 20224 then
Private funds1 as of Mar 29, 2023
Mar 31, 20221 then
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
$35.2MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$106M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••• R•••• C•••••• M••••• F•••• L•Hedge Fund$106M24Oct 2, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••• G•••• · Partnercontrol
        since 03/2018 · owns 50% to 75%
      • S••••••• J••••• D• · Managing Partner, Chief Compliance Officercontrol
        since 03/2016 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • J•• E••••• L••
        bankpooled vehicle sponsorn
      • R••••••• R•••• C•••••• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Nov 2, 2022 to Mar 29, 2023
      • Employees · 4 to 2
        Nov 2, 2022 to Mar 29, 2023
      • Discretionary RAUM · $126M to $106M
        Nov 2, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $126M to $106M
        Nov 2, 2022 to Mar 29, 2023
      • RAUM · $126M to $106M
        Nov 2, 2022 to Mar 29, 2023
      • Employees · 5 to 4
        Nov 5, 2021 to Mar 31, 2022
      • Discretionary RAUM · $104M to $126M
        Nov 5, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $104M to $126M
        Nov 5, 2021 to Mar 31, 2022
      • RAUM · $104M to $126M
        Nov 5, 2021 to Mar 31, 2022
      • Private funds · 2 to 1
        Mar 3, 2021 to Nov 5, 2021
      Signals
      2 dated events
      • Stephen Matthew Schmitt (Chief Financial Officer, Chief Compliance Officer, Chief Operating Officer) no longer on Schedule A of R••••••• R•••• C•••••• M••••••••• L• (listed 2021-03-03, absent 2021-11-05)
        Nov 5, 2021 · Control person left · inference
      • R••••••• R•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 3, 2021 · 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