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

D•••• I••••••••• A•••••••

Former SEC-registered adviserHouston, TexasCRD 300425SEC 801-114850IAPD
Legal name D•••• I••••••••• A•••••••• L••
Latest filing May 1, 2020
First filing on the tape Feb 15, 2019 · 6 filings
RAUM
n/a
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Apr 30, 2019
Feb 15, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 1, 2020
Feb 15, 20192 then
Employees (5.A)3 as of May 1, 2020
Feb 15, 20193 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 1, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
3.0derived1 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
otherreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
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
    • B••••••• K•••• M• · Managing Membercontrol
      since 01/2019 · owns 25% to 50%
    • C••••••• S•••• J• · Managing Membercontrol
      since 01/2019 · owns 25% to 50%
    • F••••••• S••••• H••••••• · Managing Membercontrol
      since 01/2019 · owns 50% to 75%
    • R••••••••• J•••• R••• · Chief Compliance Officercontrol
      since 01/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Houston, Tx · principal0041
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 3
      Jul 12, 2019 to Mar 6, 2020
    • Employees · 2 to 3
      Jul 12, 2019 to Mar 6, 2020
    • State-registered IARs · 2 to 3
      Jul 12, 2019 to Mar 6, 2020
    • Accounts · 0.0 to unset
      Apr 30, 2019 to Jul 12, 2019
    • Advisory activities · 2 to 1
      Apr 30, 2019 to Jul 12, 2019
    • Employees · 3 to 2
      Apr 30, 2019 to Jul 12, 2019
    • Insurance-licensed employees · 3 to 1
      Apr 30, 2019 to Jul 12, 2019
    • Discretionary RAUM · 0.0 to unset
      Apr 30, 2019 to Jul 12, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Apr 30, 2019 to Jul 12, 2019
    • RAUM · 0.0 to unset
      Apr 30, 2019 to Jul 12, 2019
    • Related adviser · false to true
      Apr 30, 2019 to Jul 12, 2019
    • Business name · D•••• I••••••••• A•••••••• L•• to D•••• I••••••••• A•••••••
      Feb 15, 2019 to Apr 15, 2019
    Signals
    6 dated events
    • Scott Hamilton Freeman no longer registered at D•••• I••••••••• A•••••••; no later IA registration on IAPD
      Dec 3, 2025 · Advisor departure · fact
    • T•••• L••• K••• left D•••• I••••••••• A••••••• for S•••••• W••••• S••••••••• L•• (registered 2025-10-15)
      Nov 2, 2025 · Advisor changed firm · fact
    • S••••• L•••••••• O••••• left D•••• I••••••••• A••••••• for S•••••• W••••• S••••••••• L•• (registered 2025-09-30)
      Oct 3, 2025 · Advisor changed firm · fact
    • T••••••••• C••••••• left D•••• I••••••••• A••••••• for S•••••• W••••• S••••••••• L•• (registered 2025-06-20)
      Oct 3, 2025 · Advisor changed firm · fact
    • 2 advisors left D•••• I••••••••• A••••••• (Houston, TX) for S•••••• W••••• S••••••••• L•• on the same day
      Oct 3, 2025 · Team lift-out · derived
    • D•••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 15, 2019 · 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