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

A•••••• C•••••• M••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 285529SEC 801-111644IAPD
Latest filing Mar 31, 2023
First filing on the tape Aug 9, 2017 · 13 filings
RAUM
$17.0M
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
1
beyond the principal office
Private funds
1
$17.0M gross assets
History
13 filings and snapshots on the tape
RAUM$17.0M as of Mar 31, 2023
Mar 20, 2018$627M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 20, 20180 then
Employees (5.A)2 as of Mar 31, 2023
Mar 20, 20184 then
Private funds1 as of Mar 31, 2023
Mar 20, 20181 then
RAUM -92% over the last fiscal year-62% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$17.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-92%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
$17.0M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$17.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$17.0M for 1 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
      A•• A••••••• B••• M••••• F•••Other Private Fund$55.9M651Apr 29, 2014
      A•• A••••••• P•••••• C••••• F••• L•Other Private Fund$17.0M2Feb 25, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• F••••••••• X••••• · Managing Directorcontrol
        since 03/2022 · owns less than 5%
      • S•••••••• J•••••• J••••• · Chief Compliance Officer
        since 05/2018 · owns less than 5%
      Entity owners
      • A•••••• H•••••••• I•• · Owner
        direct · owns 75% or more
      • A•••••• A••••••• I••••••••• S••••• D• C••• · Shareholder
        indirect · owns 75% or more of A•••••• H•••••••• I••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Ciudad De Mexico, Mexico1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 3 to 2
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 5 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · $31.8M to $17.0M
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 3 to 2
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 2 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $221M to $17.0M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $221M to $17.0M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $221M to $17.0M
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 4 to 3
        Jun 4, 2021 to Mar 31, 2022
      • Assets in custody · $41.9M to $31.8M
        Jun 4, 2021 to Mar 31, 2022
      • Employees · 4 to 3
        Jun 4, 2021 to Mar 31, 2022
      • Other offices · 0 to 1
        Jun 4, 2021 to Mar 31, 2022
      • Discretionary RAUM · $276M to $221M
        Jun 4, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $276M to $221M
        Jun 4, 2021 to Mar 31, 2022
      • RAUM · $276M to $221M
        Jun 4, 2021 to Mar 31, 2022
      • Business name · A••••••• C•••••• M••••••••• L•• to A•••••• C•••••• M••••••••• L••
        May 19, 2021 to Jun 4, 2021
      • Legal name · A••••••• C•••••• M••••••••• L•• to A•••••• C•••••• M••••••••• L••
        May 19, 2021 to Jun 4, 2021
      • Advisory employees · 3 to 4
        Mar 31, 2020 to Mar 31, 2021
      • Assets in custody · unset to 41905393.0
        Mar 31, 2020 to Mar 31, 2021
      • Custody of client assets · false to true
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 3 to 4
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $312M to $276M
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $312M to $276M
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $312M to $276M
        Mar 31, 2020 to Mar 31, 2021
      • HQ state · NY to TX
        Jan 23, 2020 to Mar 31, 2020
      • Discretionary RAUM · $408M to $312M
        Jan 23, 2020 to Mar 31, 2020
      • Pooled vehicle RAUM · $408M to $312M
        Jan 23, 2020 to Mar 31, 2020
      • RAUM · $408M to $312M
        Jan 23, 2020 to Mar 31, 2020
      • Advisory employees · 4 to 3
        Feb 25, 2019 to Jan 23, 2020
      • Employees · 4 to 3
        Feb 25, 2019 to Jan 23, 2020
      • HQ city · RYE BROOK to HOUSTON
        Feb 25, 2019 to Jan 23, 2020
      • Accounts · 3 to 5
        May 24, 2018 to Feb 25, 2019
      • Pooled vehicle clients · 3 to 5
        May 24, 2018 to Feb 25, 2019
      • Private funds · 1 to 2
        May 24, 2018 to Feb 25, 2019
      • Discretionary RAUM · $627M to $408M
        May 24, 2018 to Feb 25, 2019
      • Pooled vehicle RAUM · $627M to $408M
        May 24, 2018 to Feb 25, 2019
      • RAUM · $627M to $408M
        May 24, 2018 to Feb 25, 2019
      • Accounts · 2 to 3
        Aug 31, 2017 to Mar 20, 2018
      • Advisory employees · 3 to 4
        Aug 31, 2017 to Mar 20, 2018
      Signals
      9 dated events
      • A•••••• C•••••• M••••••••• L•• reported RAUM $17.0M, down 92% from $220.7M (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Carlos Rafael Muniz (Chief Executive Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2021-06-04, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Xavier Francisco Maza (Managing Director) appeared on Schedule A of A•••••• C•••••• M••••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Carlos Rafael Muniz (Chief Executive Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L••
        Jan 23, 2020 · Control person joined · fact
      • Michael John Hartzell (Managing Partner) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2019-02-25, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Gonzalo Jaime Garza (Managing Partner) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2019-02-25, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • A•••••• C•••••• M••••••••• L•• reported RAUM $408.2M, down 35% from $627.0M (2018-05-24 to 2019-02-25)
        Feb 25, 2019 · RAUM change · derived
      • A•••••• C•••••• M••••••••• L•• reported RAUM $627.0M, up 99% from $315.1M (2017-08-31 to 2018-03-20)
        Mar 20, 2018 · RAUM change · derived
      • A••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 9, 2017 · 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