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

S•••• C•••••• M••••••••• L•

Former SEC-registered adviserAustin, TexasCRD 283830SEC 801-121074IAPD
Latest filing Mar 26, 2022
First filing on the tape Mar 31, 2021 · 2 filings
RAUM
$153M
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
9
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$153M gross assets
History
2 filings and snapshots on the tape
RAUM$153M as of Mar 26, 2022
Mar 31, 2021$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2022
Mar 31, 20210 then
Employees (5.A)9 as of Mar 26, 2022
Mar 31, 202118 then
Private funds1 as of Mar 26, 2022
Mar 31, 20211 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
$50.8MderivedRAUM 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
unknownderivedbetween 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$153M100%
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
      S•••• C•••••• M••••• F•••• L•Hedge Fund$153M20Mar 31, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J••••• C•••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      • K••••••• D••••• E•••• · Chief Operating Officercontrol
        since 10/2016 · owns less than 5%
      • L••••••• K••••• M•••• · Chief Investment Officer And Foundercontrol
        since 10/2016 · owns 25% to 50%
      • C••••••••• J••• H•• · Founder
        since 10/2016 · owns 25% to 50%
      • F•••••• D•••• D••••• · Founder
        since 10/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • S•••• C•••••• F••• G•• L••
        investment adviserpooled vehicle sponsorn
      • S•• A•••• S•••••• I• L•
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• S••••••• I• L•
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• S••••••• I•• L•
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• S••••••• I••• L•
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• S••••••• I•• L•
        investment adviserpooled vehicle sponsorn
      • S••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 18 to 9
        Mar 31, 2021 to Mar 26, 2022
      • Discretionary RAUM · $200M to $153M
        Mar 31, 2021 to Mar 26, 2022
      • Pooled vehicle RAUM · $200M to $153M
        Mar 31, 2021 to Mar 26, 2022
      • RAUM · $200M to $153M
        Mar 31, 2021 to Mar 26, 2022
      Signals
      1 dated events
      • S•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 31, 2021 · 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.
      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