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

C• I••••••••• P•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 301481SEC 801-117353IAPD
Latest filing Jul 16, 2024
First filing on the tape Aug 19, 2019 · 19 filings
RAUM
$5.1B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
43%
$2.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
39
24 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
21
$2.4B gross assets
History
19 filings and snapshots on the tape
RAUM$5.1B as of Mar 29, 2024
Mar 30, 2020$3.6B then
HNW client RAUM$2.2B as of Mar 29, 2024
Mar 30, 2020$1.9B then
State-registered IARs (5.B.3)15 as of Mar 29, 2024
Mar 30, 202013 then
Employees (5.A)39 as of Mar 29, 2024
Mar 30, 202030 then
Private funds21 as of Mar 29, 2024
Mar 30, 202012 then
RAUM +17% over the last fiscal year+9.9% a year over threeIARs 16 to 15offices 1 to 2
Practice profile
derived from the filing of Jul 16, 2024; every figure names its basis
RAUM per advisor
$340MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$24.8MderivedHNW RAUM over HNW clients
Average account
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
5.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-6.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
-64%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$963M, 96 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.9B56%
  • High-net-worth individuals$2.2B43%
  • Charitable organizations$55.6M1.1%
  • Individuals$3.2M0.1%
  • Corporations and businesses$6,1400.0%
Individual clients
2reported
HNW clients
88reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
1,146reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$963M for 96 clientsreported
Compensation
% of AUM, fixed, performancereported
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
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• G••••• S••••••••• L•••Other P•••••• Fund$960M47Mar 30, 2012
      C••• V•••• F•••• L•••Other P•••••• Fund$291M45Mar 30, 2012
      C••• D••••• I••••••••• L•••Other P•••••• Fund$209M1572•••-10-08
      C•••• O•• R••• T••• I• L•••••Other P•••••• Fund$128M107Feb 22, 2022
      C•• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$108M342•••-04-13
      C•••• D••••• I••••••••• F••• I•• L•Other P•••••• Fund$106M1092•••-07-26
      C•• D••••• I••••••••• F••• I• L•••Other P•••••• Fund$95.2M38Mar 30, 2018
      C•• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$64.6M362•••-01-18
      C•••• P•• ••••••• L•••••Other P•••••• Fund$62.6M832•••-02-21
      C•• D••••• S•••••••• F•••• L•••Other P•••••• Fund$61.0M552•••-11-15
      O••• I•• I••••••••• L•••••Other P•••••• Fund$59.0M672•••-04-07
      C•• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$54.2M23Jan 28, 2016
      O••• I•• W•••••••• L•••••Other P•••••• Fund$52.0M452•••-02-23
      C•••• P•••••• E••••• 2•••• L•P•••••• Equity Fund$39.1M672•••-07-26
      C••• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$37.2M172•••-10-08
      C•• E••••• F•••• L•••no longer reportedHedge Fund$22.4M17Nov 10, 2016
      C••• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$12.2M9Mar 30, 2012
      O•••• W•••••••• L•••••Other P•••••• Fund$11.9M462•••-02-23
      C•••• P•••••• E••••• 2•••• L•••P•••••• Equity Fund$5.6M39Mar 29, 2024
      O•••• I••••••••• L•••••Other P•••••• Fund$4.4M672•••-04-07
      C•• E••••••• F•••• L•••Other P•••••• Fund$337,064222•••-02-05
      B••• W•••••••• L•••••no longer reportedP•••••• Equity Fund$0432•••-02-23
      C•••• D••••• I••••••••• F••• I••• L•••Other P•••••• Fund$081Mar 29, 2024
      C•••• O•••• I•• L••••no longer reportedHedge Fund$00Feb 22, 2022
      B••• I•••••••• L•••••no longer reportedP•••••• Equity Fund$0502•••-04-07
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• K•••• L••• · Co-Presidentcontrol
        since 03/2••• · owns less than 5%
      • S••••••••• M••••••• R•••••• · Co-Presidentcontrol
        since 03/2••• · owns less than 5%
      • R••••• K•••• L••• · Shareholdercontrol
        since 04/2••• · owns 50% to 75% of I••••••••• I•••
      • R••••• K•••• L••• · Limited Partnercontrol
        since 08/2••• · owns 25% to 50% of O•• L••• C•••••• M••••••••• L•••
      • S••••••••• M••••••• R•••••• · Limited Partnercontrol
        since 08/2••• · owns 25% to 50% of O•• L••• C•••••• M••••••••• L•••
      • S••••••••• M••••••• R•••••• · Shareholdercontrol
        since 04/2••• · owns 50% to 75% of I••••••••• I•••
      • B••••• B•••••••• L•••• · Vice President
        since 05/2022 · owns less than 5%
      • B•••••• T••••• S•••• · Vice President
        since 03/2••• · owns less than 5%
      • C•••• J••••• M••••••••• · Vice President
        since 05/2022 · owns less than 5%
      • M••••• M•••••• J••••• · Chief Compliance Officer
        since 04/2••• · owns less than 5%
      • M•••••••• A••••• · Vice President
        since 03/2••• · owns less than 5%
      • S••••••• K••••• T••• · Vice President
        since 03/2••• · owns less than 5%
      • T••••• D••••• L••• · Chief Operating Officer
        since 03/2••• · owns less than 5%
      Entity owners
      • O•• L••• C•••••• M••••••••• L••• · Managing Member
        direct · owns 75% or more
      • C••• H•••••••• L••• · Limited Partner
        indirect · owns 75% or more of M•••• A••••• C•••••• I••••••••• L•••
      • H••••• R• C••• F••••• B••••• P••••••••• L••• · Limited Partner
        indirect · owns 25% to 50% of C••• H•••••••• L•••
      • I••••••••• I••• · General Partner
        indirect · owns F of O•• L••• C•••••• M••••••••• L•••
      • O•• L••• C•••••• A•••••••• I••• · General Partner
        indirect · owns F of M•••• A••••• C•••••• I••••••••• L•••
      • T••••••• S• C••• F••••• B••••• P••••••••• L••• · Limited Partner
        indirect · owns 25% to 50% of C••• H•••••••• L•••
      • M•••• A••••• C•••••• I••••••••• L••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • O•• L••• D••••• I••••••••• F••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• D••••• I•••••••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• E••••••• F••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• G••••• S••••••••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• P•••••• E••••• 2••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• P•••••• E••••• G•• L•••••
        pooled vehicle sponsorn
      • O•• L••• V•••• M•••••••• I•••
        pooled vehicle sponsorn
      • O•• L••• V•••• M•••••••• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Charlotte, NC10 employees
      • Tulsa, OK10 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1,159 to 1,146
        2•••-05-08 to Mar 29, 2024
      • HNW clients · 225 to 88
        2•••-05-08 to Mar 29, 2024
      • Individual clients · 23 to 2
        2•••-05-08 to Mar 29, 2024
      • Pension plan clients · 0.0 to unset
        2•••-05-08 to Mar 29, 2024
      • Pooled vehicle clients · 20 to 22
        2•••-05-08 to Mar 29, 2024
      • Assets in custody · $442M to $963M
        2•••-05-08 to Mar 29, 2024
      • State-registered IARs · 16 to 15
        2•••-05-08 to Mar 29, 2024
      • Other offices · 1 to 2
        2•••-05-08 to Mar 29, 2024
      • p•••••• fund count · 20 to 21
        2•••-05-08 to Mar 29, 2024
      • Discretionary RAUM · $3.5B to $4.2B
        2•••-05-08 to Mar 29, 2024
      • HNW RAUM · $1.7B to $2.2B
        2•••-05-08 to Mar 29, 2024
      • Individual RAUM · $3.3M to $3.2M
        2•••-05-08 to Mar 29, 2024
      • Non-discretionary RAUM · $813M to $944M
        2•••-05-08 to Mar 29, 2024
      • Pooled vehicle RAUM · $2.6B to $2.9B
        2•••-05-08 to Mar 29, 2024
      • RAUM · $4.4B to $5.1B
        2•••-05-08 to Mar 29, 2024
      • Accounts · 1,126 to 1,159
        2•••-02-21 to 2•••-03-30
      • Advisory employees · 19 to 24
        2•••-02-21 to 2•••-03-30
      • Charity clients · 2 to 3
        2•••-02-21 to 2•••-03-30
      • HNW clients · 195 to 225
        2•••-02-21 to 2•••-03-30
      • Individual clients · 22 to 23
        2•••-02-21 to 2•••-03-30
      • Pooled vehicle clients · 19 to 20
        2•••-02-21 to 2•••-03-30
      • Assets in custody · $890M to $442M
        2•••-02-21 to 2•••-03-30
      • Employees · 32 to 39
        2•••-02-21 to 2•••-03-30
      • State-registered IARs · 13 to 16
        2•••-02-21 to 2•••-03-30
      • Discretionary RAUM · $3.6B to $3.5B
        2•••-02-21 to 2•••-03-30
      • HNW RAUM · $2.3B to $1.7B
        2•••-02-21 to 2•••-03-30
      • Individual RAUM · $3.5M to $3.3M
        2•••-02-21 to 2•••-03-30
      • Non-discretionary RAUM · $856M to $813M
        2•••-02-21 to 2•••-03-30
      • Pooled vehicle RAUM · $2.2B to $2.6B
        2•••-02-21 to 2•••-03-30
      • RAUM · $4.5B to $4.4B
        2•••-02-21 to 2•••-03-30
      • p•••••• fund count · 19 to 20
        Mar 31, 2022 to 2•••-02-21
      • Accounts · 1,094 to 1,126
        Feb 22, 2022 to Mar 31, 2022
      • Advisory employees · 20 to 19
        Feb 22, 2022 to Mar 31, 2022
      • Charity clients · 1 to 2
        Feb 22, 2022 to Mar 31, 2022
      • HNW clients · 147 to 195
        Feb 22, 2022 to Mar 31, 2022
      • Individual clients · 20 to 22
        Feb 22, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 15 to 19
        Feb 22, 2022 to Mar 31, 2022
      • Assets in custody · $568M to $890M
        Feb 22, 2022 to Mar 31, 2022
      • Employees · 35 to 32
        Feb 22, 2022 to Mar 31, 2022
      • p•••••• fund count · 21 to 19
        Feb 22, 2022 to Mar 31, 2022
      Signals
      3 dated events
      • L•••• A••• R•••••• (Shareholder) no longer on Schedule A of C• I••••••••• P•••••••• L•• (listed 2•••-05-08, absent 2024-03-29)
        Mar 29, 2024 · Control person left · inference
      • K•••• G••••• M•••••• B••••• (Shareholder) no longer on Schedule A of C• I••••••••• P•••••••• L•• (listed 2•••-05-08, absent 2024-03-29)
        Mar 29, 2024 · Control person left · inference
      • C• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        2•••-08-19 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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