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Former SEC-registered adviser

D•••••••• C••••••• L••

Former SEC-registered adviserDallas, TexasCRD 299088SEC 801-114262IAPD
Latest filing May 3, 2019
First filing on the tape Oct 8, 2018 · 7 filings
RAUM
$8.1M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$8.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$8.1M as of May 3, 2019
Oct 8, 2018$0 then
HNW client RAUM$7.9M as of May 3, 2019
Feb 11, 2019$7.9M then
State-registered IARs (5.B.3)2 as of May 3, 2019
Oct 8, 20180 then
Employees (5.A)2 as of May 3, 2019
Oct 8, 20181 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 3, 2019; every figure names its basis
RAUM per advisor
$4.1MderivedRAUM 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
$450,053derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$7.5MreportedItem 5.I
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
  • High-net-worth individuals$7.9M98%
  • Individuals$180,4222.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • H•••• C••••••• C•••••• · Partner & Chief Compliance Officercontrol
        since 11/2018 · owns 75% or more
      • A•••••••• E•••• E••••• · Partner
        since 01/2019 · owns 10% to 25%
      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 · 0 to 18
        Nov 7, 2018 to Feb 11, 2019
      • Advisory employees · 1 to 2
        Nov 7, 2018 to Feb 11, 2019
      • Employees · 1 to 2
        Nov 7, 2018 to Feb 11, 2019
      • State-registered IARs · 0 to 2
        Nov 7, 2018 to Feb 11, 2019
      • Discretionary RAUM · $0 to $7.5M
        Nov 7, 2018 to Feb 11, 2019
      • HNW RAUM · unset to 7920539.0
        Nov 7, 2018 to Feb 11, 2019
      • Individual RAUM · unset to 180422.0
        Nov 7, 2018 to Feb 11, 2019
      • Non-discretionary RAUM · $0 to $588,369
        Nov 7, 2018 to Feb 11, 2019
      • RAUM · $0 to $8.1M
        Nov 7, 2018 to Feb 11, 2019
      • Advisory activities · 4 to 5
        Oct 8, 2018 to Oct 11, 2018
      • Financial planning clients · unset to 0
        Oct 8, 2018 to Oct 11, 2018
      Signals
      1 dated events
      • D•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 8, 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