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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 286473SEC 801-110058IAPD
Latest filing Mar 9, 2021
First filing on the tape Feb 21, 2017 · 13 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2B as of Mar 9, 2021
Mar 28, 2018$921M then
HNW client RAUM$1.1B as of Mar 9, 2021
Mar 28, 2018$812M then
State-registered IARs (5.B.3)5 as of Mar 9, 2021
Mar 28, 20185 then
Employees (5.A)9 as of Mar 9, 2021
Mar 28, 20189 then
Private funds: no history
RAUM +14% over the last fiscal year+8.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 9, 2021; every figure names its basis
RAUM per advisor
$236MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.6MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$236M, 105 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)
  • compensates persons for client referrals (8.G.1)
  • 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
  • High-net-worth individuals$1.1B89%
  • Pension and profit-sharing plans$55.7M4.7%
  • Individuals$41.0M3.5%
  • Charitable organizations$15.8M1.3%
  • Corporations and businesses$15.1M1.3%
Individual clients
120reported
HNW clients
188reported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
771reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$236M for 105 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• M••••••• R••• · Member, Managing Directorcontrol
    since 03/2017 · owns 10% to 25%
  • H•••• L••••••• K•• · Chief Compliance Officer, Chief Financial Officer, Membercontrol
    since 06/2017 · owns 5% to 10%
  • K•••• M••••••• H•••• · Member, Managing Directorcontrol
    since 06/2017 · owns 10% to 25%
  • R••• G•••••• L•••• · Managing Directorcontrol
    since 06/2017 · owns less than 5%
  • R••• J•••••• H••••• · President, Managing Directorcontrol
    since 06/2017 · owns less than 5%
  • R••••••• L•••••• J••••••• · Membercontrol
    since 03/2017 · owns 5% to 10%
  • R••• G•••••• L•••• · Chairman Of The Board, Limited Partnercontrol
    since 03/2004 · owns 25% to 50% of G••••• L• R•• • A••••••••• L•••
  • R••• G•••••• L•••• · Managing Membercontrol
    since 03/2004 · owns F of G••••• L• R•• • A••••••••• I• L••
  • R••• J•••••• H••••• · Trusteecontrol
    since 12/2012 · owns F of J•• 2••• G•• T••••
Entity owners
  • G••••• L• R•• • A••••••••• L••• · Member
    direct · owns 25% to 50%
  • G••••• L• R•• • A••••••••• I• L•• · General Partner
    indirect · owns F of G••••• L• R•• • A••••••••• L•••
  • J•• 2••• G•• T•••• · Limited Partner
    indirect · owns 25% to 50% of G••••• L• R•• • A••••••••• L•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 744 to 771
    Jun 26, 2020 to Mar 9, 2021
  • HNW clients · 170 to 188
    Jun 26, 2020 to Mar 9, 2021
  • Individual clients · 128 to 120
    Jun 26, 2020 to Mar 9, 2021
  • Pension plan clients · 14 to 15
    Jun 26, 2020 to Mar 9, 2021
  • Assets in custody · $276M to $236M
    Jun 26, 2020 to Mar 9, 2021
  • Discretionary RAUM · $1.0B to $1.2B
    Jun 26, 2020 to Mar 9, 2021
  • HNW RAUM · $911M to $1.1B
    Jun 26, 2020 to Mar 9, 2021
  • Individual RAUM · $40.9M to $41.0M
    Jun 26, 2020 to Mar 9, 2021
  • Non-discretionary RAUM · $1.0M to $874,633
    Jun 26, 2020 to Mar 9, 2021
  • Pension RAUM · $42.6M to $55.7M
    Jun 26, 2020 to Mar 9, 2021
  • RAUM · $1.0B to $1.2B
    Jun 26, 2020 to Mar 9, 2021
  • Accounts · 688 to 744
    Sep 24, 2019 to Feb 26, 2020
  • Charity clients · 5.0 to unset
    Sep 24, 2019 to Feb 26, 2020
  • Corporate clients · 8.0 to unset
    Sep 24, 2019 to Feb 26, 2020
  • HNW clients · 149 to 170
    Sep 24, 2019 to Feb 26, 2020
  • Individual clients · 126 to 128
    Sep 24, 2019 to Feb 26, 2020
  • Pension plan clients · 13 to 14
    Sep 24, 2019 to Feb 26, 2020
  • Assets in custody · $194M to $276M
    Sep 24, 2019 to Feb 26, 2020
  • Discretionary RAUM · $815M to $1.0B
    Sep 24, 2019 to Feb 26, 2020
  • HNW RAUM · $701M to $911M
    Sep 24, 2019 to Feb 26, 2020
  • Individual RAUM · $49.1M to $40.9M
    Sep 24, 2019 to Feb 26, 2020
  • Non-discretionary RAUM · $1.9M to $1.0M
    Sep 24, 2019 to Feb 26, 2020
  • Pension RAUM · $23.4M to $42.6M
    Sep 24, 2019 to Feb 26, 2020
  • RAUM · $816M to $1.0B
    Sep 24, 2019 to Feb 26, 2020
  • Accounts · 657 to 688
    Jan 25, 2019 to Mar 6, 2019
  • Corporate clients · 7 to 8
    Jan 25, 2019 to Mar 6, 2019
  • HNW clients · 134 to 149
    Jan 25, 2019 to Mar 6, 2019
  • Individual clients · 127 to 126
    Jan 25, 2019 to Mar 6, 2019
  • Pension plan clients · 14 to 13
    Jan 25, 2019 to Mar 6, 2019
  • Assets in custody · $296M to $194M
    Jan 25, 2019 to Mar 6, 2019
  • Financial planning clients · 0 to 1-10
    Jan 25, 2019 to Mar 6, 2019
  • Discretionary RAUM · $919M to $815M
    Jan 25, 2019 to Mar 6, 2019
  • HNW RAUM · $812M to $701M
    Jan 25, 2019 to Mar 6, 2019
  • Individual RAUM · $27.6M to $49.1M
    Jan 25, 2019 to Mar 6, 2019
  • Non-discretionary RAUM · $2.2M to $1.9M
    Jan 25, 2019 to Mar 6, 2019
  • Pension RAUM · $35.5M to $23.4M
    Jan 25, 2019 to Mar 6, 2019
  • RAUM · $921M to $816M
    Jan 25, 2019 to Mar 6, 2019
  • Advisory activities · 2 to 3
    Mar 28, 2018 to Oct 4, 2018
  • Accounts · 73 to 657
    Jul 20, 2017 to Mar 28, 2018
  • Charity clients · unset to 5.0
    Jul 20, 2017 to Mar 28, 2018
Signals
3 dated events
  • W••••••••• I••••••••• A•••••••• L•• reported RAUM $1.0B, up 26% from $816.5M (2019-09-24 to 2020-02-26)
    Feb 26, 2020 · RAUM change · derived
  • W••••••••• I••••••••• A•••••••• L•• reported RAUM $921.5M, up 559% from $139.9M (2017-07-20 to 2018-03-28)
    Mar 28, 2018 · RAUM change · derived
  • W••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 21, 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