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

W••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 289492SEC 801-112197IAPD
Latest filing Jan 28, 2019
First filing on the tape Nov 17, 2017 · 3 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 28, 2019
Mar 26, 20181 then
Employees (5.A)1 as of Jan 28, 2019
Mar 26, 20181 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 28, 2019; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• S••••••• J••••• · President/Ceocontrol
        since 10/2013 · owns 25% to 50% of I•••••••• M•••••••• L••
      • G••••••••• K••••• S•••• · Chairmancontrol
        since 10/2013 · owns 50% to 75% of I•••••••• M•••••••• L••
      • J••••••••• S••••••• · Coocontrol
        since 10/2001 · owns 25% to 50% of B••••••• I•••••• I•••
      • L••• G•••• W•••• · Presidentcontrol
        since 12/2008 · owns 75% or more of S••••••• E•••••• I••
      • M••••••••• J•••••••• P•••••• · Vice Presidentcontrol
        since 06/2000 · owns 50% to 75% of K••• O•• •••
      • M••••••••• R•••••• H••••• · Presidentcontrol
        since 06/2000 · owns 50% to 75% of K••• O•• •••
      • R•••••••• P••••••• · President/Ceocontrol
        since 10/2001 · owns 50% to 75% of B••••••• I•••••• I•••
      • R••••••• L••••• E••• · Limited Partnercontrol
        since 12/2016 · owns 75% or more of T••••• M•••••••• • R•••••• L•
      • T••••••• E•••• M•••••• · Member And Directorcontrol
        since 07/2015 · owns 75% or more of T•••••• C•••••••• L••
      • H••••• F••••••• C••• · Owning Member
        since 06/2015 · owns less than 5%
      • J••••• C•••••• · Owning Member
        since 12/2016 · owns less than 5%
      • M•••• C••••• · Cco
        since 07/2017 · owns less than 5%
      • M••••••• F••••• · Owning Member
        since 12/2016 · owns less than 5%
      Entity owners
      • T••••• M•••••••• • R•••••• L• · Owning Member
        direct · owns 25% to 50%
      • B••••••• I•••••• I••• · Owning Member
        direct · owns 10% to 25%
      • I•••••••• M•••••••• L•• · Owning Member
        direct · owns 10% to 25%
      • K••• O•• ••• · Owning Member
        direct · owns 5% to 10%
      • S••••••• E•••••• I•• · Owning Member
        direct · owns less than 5%
      • T•••••• C•••••••• L•• · Owning Member
        direct · owns 10% to 25%
      • R•••••••• P••••••• L•• · General Partner
        indirect · owns 25% to 50% of T••••• M•••••••• • R•••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Mar 26, 2018 to Jan 28, 2019
      • Discretionary RAUM · unset to 0.0
        Mar 26, 2018 to Jan 28, 2019
      • Non-discretionary RAUM · unset to 0.0
        Mar 26, 2018 to Jan 28, 2019
      • RAUM · unset to 0.0
        Mar 26, 2018 to Jan 28, 2019
      • Accounts · 0.0 to unset
        Nov 17, 2017 to Mar 26, 2018
      • Discretionary RAUM · 0.0 to unset
        Nov 17, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Nov 17, 2017 to Mar 26, 2018
      • RAUM · 0.0 to unset
        Nov 17, 2017 to Mar 26, 2018
      • Related adviser · false to true
        Nov 17, 2017 to Mar 26, 2018
      Signals
      1 dated events
      • W••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 17, 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