DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 8, 2017 · 22 filings
SEC status approved since Oct 25, 2017
RAUM
$30.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$23.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$15.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$30.4M as of Mar 27, 2026
Mar 29, 2018$0 then
HNW client RAUM$15.7M as of Mar 27, 2026
Mar 31, 2020$134,000 then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 29, 20183 then
Employees (5.A)4 as of Mar 27, 2026
Mar 29, 20183 then
Private funds1 as of Mar 27, 2026
Mar 30, 20221 then
RAUM +16% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $15.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $654,519derivedHNW RAUM over HNW clients
- Average account
- $223,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $3.6M, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$15.7M52%
- Individuals$7.6M25%
- Pooled investment vehicles$3.6M12%
- Corporations and businesses$3.5M11%
- Individual clients
- 34reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 136reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.12 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• P••• S•••• B•••• | Vancouver, Bc | Jan 15, 2018 | 16 y | 2 |
| B••• D••••• S•••••• | Houston, Tx | Feb 1, 2021 | 27 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
- N••••••• P••• S•••• B•••• from P••••••• P••••••• C•••••• M••••••••• I•••Jan 15, 2018 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• O••••••••• F••• I• L• | Private Equity Fund | $2.0M | 4 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• N•••••••• P••• S•••• · Managing Partnercontrolsince 06/2017 · owns less than 5%
- R••••••••• F••••• · Presidentcontrolsince 06/2017 · owns 25% to 50%
- S••••••• B•••• D••••• · Member/Chief Compliance Officercontrolsince 06/2017 · owns 25% to 50%
- T••••••• R•••••• D••••• · Membercontrolsince 08/2021 · owns less than 5%
- B••••• N•••••••• P••• S•••• · President/Ccocontrolsince 12/2015 · owns F of C•••••• P•••
- T••••••• R•••••• D••••• · Managing Membercontrolsince 05/2018 · owns 75% or more of M••••• H••••••• L••
Entity owners
- B•••••••• P••••••• L•• · Memberdirect · owns 25% to 50%
- C•••••• P••• · Memberindirect · owns 75% or more of B•••••••• P••••••• L••
- M••••• H••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••• P•••investment advisernRAUM $47.4M
Advisers that list F•••••••• P•••••••• L•• as a related person
- 291546 y
Offices
Schedule D 1.F, the 25 largest
- Houston, TX3 employees
What changed
consecutive filings, newest first
- Accounts · 129 to 136Mar 24, 2025 to Mar 27, 2026
- Advisory employees · 4 to 2Mar 24, 2025 to Mar 27, 2026
- HNW clients · 26 to 24Mar 24, 2025 to Mar 27, 2026
- Assets in custody · $4.3M to $3.6MMar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $26.1M to $30.4MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $11.0M to $15.7MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $7.3M to $7.6MMar 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $4.3M to $3.6MMar 24, 2025 to Mar 27, 2026
- RAUM · $26.1M to $30.4MMar 24, 2025 to Mar 27, 2026
- Accounts · 117 to 129Mar 27, 2024 to Mar 24, 2025
- HNW clients · 20 to 26Mar 27, 2024 to Mar 24, 2025
- Individual clients · 36 to 34Mar 27, 2024 to Mar 24, 2025
- Assets in custody · $2.0M to $4.3MMar 27, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 24, 2025
- HQ state · unset to Mar 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $21.7M to $26.1MMar 27, 2024 to Mar 24, 2025
- HNW RAUM · $10.9M to $11.0MMar 27, 2024 to Mar 24, 2025
- Individual RAUM · $6.5M to $7.3MMar 27, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $2.0M to $4.3MMar 27, 2024 to Mar 24, 2025
- RAUM · $21.7M to $26.1MMar 27, 2024 to Mar 24, 2025
- Accounts · 112 to 117Mar 31, 2023 to Mar 27, 2024
- HNW clients · 21 to 20Mar 31, 2023 to Mar 27, 2024
- Individual clients · 27 to 36Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $1.6M to $2.0MMar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $22.3M to $21.7MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $12.9M to $10.9MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $4.9M to $6.5MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.6M to $2.0MMar 31, 2023 to Mar 27, 2024
- RAUM · $22.3M to $21.7MMar 31, 2023 to Mar 27, 2024
- Accounts · 106 to 112Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 2 to 4Mar 30, 2022 to Mar 31, 2023
- BD registered reps · 0 to 2Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $2.4M to $1.6MMar 30, 2022 to Mar 31, 2023
- Employees · 2 to 4Mar 30, 2022 to Mar 31, 2023
- Insurance-licensed employees · 1 to 0Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $25.9M to $22.3MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $15.2M to $12.9MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $5.5M to $4.9MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.4M to $1.6MMar 30, 2022 to Mar 31, 2023
- RAUM · $25.9M to $22.3MMar 30, 2022 to Mar 31, 2023
Signals
2 dated events
- D••••• R••••• T•••••• (Managing Member) appeared on Schedule A of F•••••••• P•••••••• L••Nov 26, 2021 · Control person joined · fact
- C••••••• P•••• C•••••• filed its initial SEC registration (Form ADV)Aug 8, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713.701.1812reportedpublic record, Form ADV, Mar 27, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026