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Former SEC-registered adviser

I••••••• G••••• M••••••••• L••

Former SEC-registered adviserAustin, TexasCRD 305260SEC 801-122104IAPD
Latest filing Mar 21, 2023
First filing on the tape Jul 16, 2021 · 4 filings
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$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
1
$99.5M gross assets
History
4 filings and snapshots on the tape
RAUM$156M as of Mar 21, 2023
Mar 25, 2022$179M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2023
Mar 25, 20220 then
Employees (5.A)3 as of Mar 21, 2023
Mar 25, 20223 then
Private funds1 as of Mar 21, 2023
Mar 25, 20221 then
RAUM -13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2023; 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
$31.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$99.5M, 3 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
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$156M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$99.5M for 3 clientsreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• C••••• C••• · Chief Executive Officer And Chief Compliance Officercontrol
        since 09/2019 · owns 50% to 75%
      • P••••• A•••• P• · Chief Investment Officercontrol
        since 09/2019 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • I••••••• S•••••• S••••••••• I• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $99.0M to $99.5M
        Aug 17, 2022 to Mar 21, 2023
      • Discretionary RAUM · $179M to $156M
        Aug 17, 2022 to Mar 21, 2023
      • Pooled vehicle RAUM · $179M to $156M
        Aug 17, 2022 to Mar 21, 2023
      • RAUM · $179M to $156M
        Aug 17, 2022 to Mar 21, 2023
      • Assets in custody · $55.0M to $99.0M
        Jul 16, 2021 to Mar 25, 2022
      • Employees · 4 to 3
        Jul 16, 2021 to Mar 25, 2022
      • Private funds · 2 to 1
        Jul 16, 2021 to Mar 25, 2022
      • Discretionary RAUM · $98.3M to $179M
        Jul 16, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $98.3M to $179M
        Jul 16, 2021 to Mar 25, 2022
      • RAUM · $98.3M to $179M
        Jul 16, 2021 to Mar 25, 2022
      Signals
      1 dated events
      • I••••••• G••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 16, 2021 · 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