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
R•••••••• C•••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Nov 14, 2022 · 10 filings
SEC status approved since Jan 19, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$217M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$683M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Mar 19, 2026
Mar 20, 2023$199M then
HNW client RAUM$213M as of Mar 19, 2026
Mar 20, 2023$77.6M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 20, 20232 then
Employees (5.A)2 as of Mar 19, 2026
Mar 20, 20232 then
Private funds: no history
RAUM +346% over the last fiscal year+90% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $683MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $7.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 77%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +346%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$1.0B75%
- High-net-worth individuals$213M16%
- Other investment advisers$97.6M7.1%
- Charitable organizations$25.9M1.9%
- Corporations and businesses$4.3M0.3%
- Individuals$3.6M0.3%
- Insurance companies$2.4M0.2%
- Individual clients
- 7reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 176reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.07 institutional_share=0.77 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••••• R•••••••• | Dallas, Tx | Mar 20, 2019 | 22 y | 0 |
| M•••••• P•••••• O•••••• | Dallas, Tx | Sep 25, 2019 | 18 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• M••••••• P•••••• · Managing Member/Chief Compliance Officercontrolsince 06/2019 · owns 10% to 25%
- R••••••••• D••••• A•••••• · Managing Membercontrolsince 02/2016 · owns 50% to 75%
Entity owners
- R•••••••• I••••••••• L• · Ownerdirect · owns 10% to 25%
- R• R•••••••• L• · Limited Partnerindirect · owns 50% to 75% of R•••••••• I••••••••• L•
- R•••••••• I••••••••• M••••••••• L•• · General Partnerindirect · owns F of R•••••••• I••••••••• L•
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 19, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $306,487,592 to $1,366,575,505, advisors 2 to 2, private clients 48 to 52, offices 0 to 0 (2025-04-08 to 2026-03-19)peers: other advisers, $1B to $5B (247)
- client mix shiftChange between filings · filing Mar 19, 2026private-client share of RAUM moved from 74.0% to 16.0% between the annual amendments of 2025-04-08 and 2026-03-19peers: other advisers, $1B to $5B (247)
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 73.0% to 16.0% between the annual amendments of 2025-04-08 and 2026-03-19peers: other advisers, $1B to $5B (247)
- institutional asset share shiftChange between filings · filing Mar 19, 2026institutional share of RAUM moved from 26.0% to 84.0% between the annual amendments of 2025-04-08 and 2026-03-19peers: other advisers, $1B to $5B (247)
- RAUM up 50 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $306,487,592 to $1,366,575,505 (+346.0%) between the annual amendments of 2025-04-08 and 2026-03-19; the peer median change was +11.0% (231 comparable advisers, 98.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 64 to 176Jul 23, 2025 to Mar 19, 2026
- Charity clients · 2 to 3Jul 23, 2025 to Mar 19, 2026
- Corporate clients · 5 to 4Jul 23, 2025 to Mar 19, 2026
- HNW clients · 41 to 45Jul 23, 2025 to Mar 19, 2026
- Individual clients · 6 to 7Jul 23, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.3B to $1.4BJul 23, 2025 to Mar 19, 2026
- HNW RAUM · $225M to $213MJul 23, 2025 to Mar 19, 2026
- Individual RAUM · $3.3M to $3.6MJul 23, 2025 to Mar 19, 2026
- RAUM · $1.3B to $1.4BJul 23, 2025 to Mar 19, 2026
- Corporate clients · 4 to 5Apr 8, 2025 to Jul 23, 2025
- HNW clients · 42 to 41Apr 8, 2025 to Jul 23, 2025
- Financial planning clients · unset to Apr 8, 2025 to Jul 23, 2025
- Discretionary RAUM · $306M to $1.3BApr 8, 2025 to Jul 23, 2025
- HNW RAUM · $225M to $225MApr 8, 2025 to Jul 23, 2025
- RAUM · $306M to $1.3BApr 8, 2025 to Jul 23, 2025
- Accounts · 130 to 64Feb 23, 2024 to Feb 20, 2025
- HNW clients · 41 to 42Feb 23, 2024 to Feb 20, 2025
- Individual clients · 5 to 6Feb 23, 2024 to Feb 20, 2025
- Discretionary RAUM · $202M to $306MFeb 23, 2024 to Feb 20, 2025
- HNW RAUM · $154M to $225MFeb 23, 2024 to Feb 20, 2025
- Individual RAUM · $3.1M to $3.3MFeb 23, 2024 to Feb 20, 2025
- RAUM · $202M to $306MFeb 23, 2024 to Feb 20, 2025
- Accounts · 96 to 130Nov 1, 2023 to Feb 23, 2024
- Corporate clients · 6 to 4Nov 1, 2023 to Feb 23, 2024
- HNW clients · 52 to 41Nov 1, 2023 to Feb 23, 2024
- Individual clients · 6 to 5Nov 1, 2023 to Feb 23, 2024
- Discretionary RAUM · $199M to $202MNov 1, 2023 to Feb 23, 2024
- HNW RAUM · $77.6M to $154MNov 1, 2023 to Feb 23, 2024
- Individual RAUM · $2.0M to $3.1MNov 1, 2023 to Feb 23, 2024
- RAUM · $199M to $202MNov 1, 2023 to Feb 23, 2024
- Accounts · 48 to 96Feb 16, 2023 to Mar 20, 2023
- Corporate clients · 4 to 6Feb 16, 2023 to Mar 20, 2023
- HNW clients · 35 to 52Feb 16, 2023 to Mar 20, 2023
- Discretionary RAUM · $117M to $199MFeb 16, 2023 to Mar 20, 2023
- HNW RAUM · $82.5M to $77.6MFeb 16, 2023 to Mar 20, 2023
- Individual RAUM · $2.4M to $2.0MFeb 16, 2023 to Mar 20, 2023
- RAUM · $117M to $199MFeb 16, 2023 to Mar 20, 2023
Signals
3 dated events
- R•••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 326% from $306.5M (2025-04-08 to 2025-07-23)Jul 23, 2025 · RAUM change · derived
- R•••••••• C•••••• M••••••••• L•• reported RAUM $306.5M, up 52% from $202.3M (2024-02-23 to 2025-02-20)Feb 20, 2025 · RAUM change · derived
- R•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- rooseveltcapitalmanagement.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-871-2666reportedpublic record, Form ADV, Mar 19, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $683Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026