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

R• C•••••• L••

Former SEC-registered adviserHouston, TexasCRD 297839SEC 801-113849IAPD
Latest filing Mar 30, 2023
First filing on the tape Jul 17, 2018 · 11 filings
RAUM
$312M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$290M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$312M as of Mar 30, 2023
Jan 15, 2019$219M then
HNW client RAUM$237M as of Mar 30, 2023
Jan 15, 2019$144M then
State-registered IARs (5.B.3)4 as of Mar 30, 2023
Jan 15, 20194 then
Employees (5.A)5 as of Mar 30, 2023
Jan 15, 20195 then
Private funds: no history
RAUM -14% over the last fiscal year+5.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$78.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
97derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$238,641derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 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
+9.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$55.3M, 6 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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$237M76%
  • Individuals$52.5M17%
  • Pension and profit-sharing plans$20.9M6.7%
  • Charitable organizations$1.6M0.5%
  • Corporations and businesses$2,4310.0%
Individual clients
256reported
HNW clients
130reported
Pension plan clients
11reported
Charitable clients
1reported
Accounts
1,309reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$55.3M for 6 clientsreported
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
Joined, latest
none on the tape
    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
    • L••••• G••••••• J••••• · Chief Compliance Officercontrol
      since 12/2001 · owns 75% or more
    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 · 1,339 to 1,309
      Feb 23, 2022 to Mar 30, 2023
    • Corporate clients · unset to 3.0
      Feb 23, 2022 to Mar 30, 2023
    • HNW clients · 102 to 130
      Feb 23, 2022 to Mar 30, 2023
    • Individual clients · 251 to 256
      Feb 23, 2022 to Mar 30, 2023
    • Pension plan clients · 10 to 11
      Feb 23, 2022 to Mar 30, 2023
    • Assets in custody · $59.0M to $55.3M
      Feb 23, 2022 to Mar 30, 2023
    • Financial planning clients · 0 to unset
      Feb 23, 2022 to Mar 30, 2023
    • Discretionary RAUM · $349M to $295M
      Feb 23, 2022 to Mar 30, 2023
    • HNW RAUM · $302M to $237M
      Feb 23, 2022 to Mar 30, 2023
    • Individual RAUM · $44.8M to $52.5M
      Feb 23, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $16.3M to $17.6M
      Feb 23, 2022 to Mar 30, 2023
    • Pension RAUM · $16.3M to $20.9M
      Feb 23, 2022 to Mar 30, 2023
    • RAUM · $365M to $312M
      Feb 23, 2022 to Mar 30, 2023
    • Accounts · 1,325 to 1,339
      Jan 19, 2021 to Feb 23, 2022
    • Charity clients · unset to 1.0
      Jan 19, 2021 to Feb 23, 2022
    • HNW clients · 89 to 102
      Jan 19, 2021 to Feb 23, 2022
    • Individual clients · 275 to 251
      Jan 19, 2021 to Feb 23, 2022
    • Pension plan clients · 11 to 10
      Jan 19, 2021 to Feb 23, 2022
    • Employees · 4 to 5
      Jan 19, 2021 to Feb 23, 2022
    • Discretionary RAUM · $311M to $349M
      Jan 19, 2021 to Feb 23, 2022
    • HNW RAUM · $61.8M to $302M
      Jan 19, 2021 to Feb 23, 2022
    • Individual RAUM · $248M to $44.8M
      Jan 19, 2021 to Feb 23, 2022
    • Non-discretionary RAUM · $19.3M to $16.3M
      Jan 19, 2021 to Feb 23, 2022
    • Pension RAUM · $19.3M to $16.3M
      Jan 19, 2021 to Feb 23, 2022
    • RAUM · $330M to $365M
      Jan 19, 2021 to Feb 23, 2022
    • Accounts · 1,198 to 1,325
      May 6, 2020 to Jan 19, 2021
    • Charity clients · 1.0 to unset
      May 6, 2020 to Jan 19, 2021
    • HNW clients · 53 to 89
      May 6, 2020 to Jan 19, 2021
    • Individual clients · 291 to 275
      May 6, 2020 to Jan 19, 2021
    • Assets in custody · $47.6M to $59.0M
      May 6, 2020 to Jan 19, 2021
    • Discretionary RAUM · $253M to $311M
      May 6, 2020 to Jan 19, 2021
    • HNW RAUM · $145M to $61.8M
      May 6, 2020 to Jan 19, 2021
    • Individual RAUM · $106M to $248M
      May 6, 2020 to Jan 19, 2021
    • Non-discretionary RAUM · $16.9M to $19.3M
      May 6, 2020 to Jan 19, 2021
    • Pension RAUM · $16.9M to $19.3M
      May 6, 2020 to Jan 19, 2021
    • RAUM · $270M to $330M
      May 6, 2020 to Jan 19, 2021
    • Advisory activities · 2 to 3
      Jan 10, 2020 to Feb 19, 2020
    • Accounts · 827 to 1,198
      Sep 20, 2019 to Jan 10, 2020
    • HNW clients · 55 to 53
      Sep 20, 2019 to Jan 10, 2020
    • Individual clients · 260 to 291
      Sep 20, 2019 to Jan 10, 2020
    Signals
    7 dated events
    • T••••• L••••••• B•••• left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-19)
      Jul 28, 2023 · Advisor changed firm · fact
    • N•••••• J••••• K••••• left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-19)
      Jul 28, 2023 · Advisor changed firm · fact
    • R• C•••••• L••'s advisors moved to A•••••• W••••• S•••••••• (Houston, TX): 5 of 5 registered, on the same day
      Jul 28, 2023 · Firm absorbed (people side) · derived
    • G•••••• J••••• L•••• left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-18)
      Jul 28, 2023 · Advisor changed firm · fact
    • T••••• K•• M•••••••• left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-20)
      Jul 28, 2023 · Advisor changed firm · fact
    • M•••••• L• L••••••• left R• C•••••• L•• for A•••••• W••••• S•••••••• (registered 2023-01-24)
      Jul 28, 2023 · Advisor changed firm · fact
    • R• C•••••• L•• filed its initial SEC registration (Form ADV)
      Jul 17, 2018 · 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