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

C••••• C•••• C•••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 288915SEC 801-111969IAPD
Latest filing Mar 28, 2024
First filing on the tape Sep 29, 2017 · 13 filings
RAUM
$1.2M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$1.2M gross assets
History
13 filings and snapshots on the tape
RAUM$1.2M as of Mar 28, 2024
Mar 30, 2018$92.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2024
Mar 30, 20182 then
Employees (5.A)3 as of Mar 28, 2024
Mar 30, 20183 then
Private funds2 as of Mar 28, 2024
Mar 30, 20184 then
RAUM -13% over the last fiscal year-33% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$596,575derivedRAUM 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
$596,575derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$1.2M, 2 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.2M for 2 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• C•••• C•••••• P•••••••• L•••Private Equity Fund$1.2M66Mar 29, 2012
      C••••• C•••• M•••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$248,00021Mar 29, 2012
      C••••• C•••• M•••••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$246,00018Mar 29, 2012
      C••••• C•••• T•••••• S••• L•••Private Equity Fund$44839Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J••••• E••••• · Managing Directorcontrol
        since 03/2006 · owns less than 5%
      • B•••••••• S••••• A•••• · Managing Directorcontrol
        since 03/2006 · owns less than 5%
      • B•••••• B•••••••• R•••• · Limited Partnercontrol
        since 04/2000 · owns 25% to 50% of B•• C••••••• L•••
      • B•••••• J••••• E••••• · Membercontrol
        since 11/1999 · owns 75% or more of I•••••• M••••••••• C••••••• L••
      • B•••••• J••••• E••••• · Limited Partnercontrol
        since 04/2000 · owns 25% to 50% of B•• C••••••• L•••
      • B•••••••• S••••• A•••• · Membercontrol
        since 04/2004 · owns 50% to 75% of C••••• C•••• I••••••••• L••
      • B•••••••• S••••• A•••• · Limited Partnercontrol
        since 11/1999 · owns 25% to 50% of C••••• C•••• I••••••••• C••••••• L•••
      • B•••••••• T•••••• P•••• · Membercontrol
        since 04/2019 · owns 75% or more of C•• R•••••••• I••••••••• L••
      • E••••••• T•••••• J•••••• · Co-Trusteecontrol
        since 12/2019 · owns F of T•• S•••• A• B••••••• I•• F••••• I••••• T••••
      • L•••• A••••••• J•••• · Co-Trusteecontrol
        since 11/2004 · owns F of T•• S•••• A• B••••••• I•• F••••• I••••• T••••
      • W•••• F••••••••• W• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • B•• C••••••• L••• · Member
        direct · owns 25% to 50%
      • C•• R•••••••• I••••••••• L•• · Member
        direct · owns 10% to 25%
      • C••••• C•••• I••••••••• C••••••• L••• · Member
        direct · owns 25% to 50%
      • B••••••• F••••• I••••• T•••• · Limited Partner
        indirect · owns 25% to 50% of C••••• C•••• I••••••••• C••••••• L•••
      • C••••• C•••• I••••••••• L•• · General Partner
        indirect · owns F of C••••• C•••• I••••••••• C••••••• L•••
      • G••••••• M••••••••• C••••••• L•• · General Partner
        indirect · owns F of B•• C••••••• L•••
      • I•••••• M••••••••• C••••••• L•• · General Partner
        indirect · owns F of B•• C••••••• L•••
      • T•• S•••• A• B••••••• I•• F••••• I••••• T•••• · Member
        indirect · owns 50% to 75% of C••••• C•••• I••••••••• L••
      Related persons
      Schedule D 7.A
      • B••••••• • B••••• A•••••••• L••
        investment advisernRAUM $329M
      • C••••• C•••• I••••••••• L••
        investment adviserpooled vehicle sponsorn
      • G••••••• M••••••••• C••••••• L••
        investment adviserpooled vehicle sponsorn
      • I•••••• M••••••••• C••••••• L••
        investment adviserpooled vehicle sponsorn
      • R•• P••••••• I••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Advisers that list C••••• C•••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.4M to $1.2M
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $1.4M to $1.2M
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $1.4M to $1.2M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $1.4M to $1.2M
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $1.6M to $1.4M
        Nov 3, 2022 to Mar 31, 2023
      • Discretionary RAUM · $1.6M to $1.4M
        Nov 3, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.6M to $1.4M
        Nov 3, 2022 to Mar 31, 2023
      • RAUM · $1.6M to $1.4M
        Nov 3, 2022 to Mar 31, 2023
      • Assets in custody · $3.9M to $1.6M
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $3.9M to $1.6M
        Mar 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $3.9M to $1.6M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $3.9M to $1.6M
        Mar 30, 2021 to Mar 31, 2022
      • Accounts · 4 to 2
        May 8, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 4 to 2
        May 8, 2020 to Mar 30, 2021
      • Assets in custody · $21.0M to $3.9M
        May 8, 2020 to Mar 30, 2021
      • Private funds · 4 to 2
        May 8, 2020 to Mar 30, 2021
      • Discretionary RAUM · $31.6M to $3.9M
        May 8, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $31.6M to $3.9M
        May 8, 2020 to Mar 30, 2021
      • RAUM · $31.6M to $3.9M
        May 8, 2020 to Mar 30, 2021
      • Assets in custody · $57.3M to $21.0M
        Apr 18, 2019 to Mar 30, 2020
      • Discretionary RAUM · $57.3M to $31.6M
        Apr 18, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $57.3M to $31.6M
        Apr 18, 2019 to Mar 30, 2020
      • RAUM · $57.3M to $31.6M
        Apr 18, 2019 to Mar 30, 2020
      • Assets in custody · $82.5M to $57.3M
        Apr 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $92.9M to $57.3M
        Apr 13, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $92.9M to $57.3M
        Apr 13, 2018 to Mar 29, 2019
      • RAUM · $92.9M to $57.3M
        Apr 13, 2018 to Mar 29, 2019
      • Related bank · true to false
        Apr 13, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 4.0
        Sep 29, 2017 to Mar 30, 2018
      • Assets in custody · $116M to $82.5M
        Sep 29, 2017 to Mar 30, 2018
      • Employees · 5 to 3
        Sep 29, 2017 to Mar 30, 2018
      • State-registered IARs · 3 to 2
        Sep 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Private funds · 8 to 4
        Sep 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $116M to $92.9M
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 92948864.0
        Sep 29, 2017 to Mar 30, 2018
      • RAUM · $116M to $92.9M
        Sep 29, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • Jackson Travis English (Co-Trustee) appeared on Schedule A of C••••• C•••• C•••••• M••••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • C••••• C•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 29, 2017 · 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