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

I••••••••• A•••••• S••••••••• I•••

Former SEC-registered adviserEl Paso, TexasCRD 305632SEC 801-117524IAPD
Latest filing Jul 7, 2020
First filing on the tape Sep 23, 2019 · 8 filings
RAUM
$0
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Jul 7, 2020
Sep 23, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 7, 2020
Sep 23, 20191 then
Employees (5.A)1 as of Jul 7, 2020
Sep 23, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 7, 2020; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derived1 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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• M••••• E••••• · President And Chief Compliance Officercontrol
    since 08/2019 · owns less than 5%
  • C••••••• M••••• E••••• · Ownercontrol
    since 08/2019 · owns 75% or more of A••••• I•••
Entity owners
  • A••••• I••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
El Paso, Tx · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 3 to 2
    Apr 27, 2020 to May 22, 2020
  • BD registered reps · 1 to 0
    Apr 27, 2020 to May 22, 2020
  • Insurance-licensed employees · 1 to 0
    Apr 27, 2020 to May 22, 2020
  • Wrap assets (manager) · 0.0 to unset
    Apr 27, 2020 to May 22, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Apr 27, 2020 to May 22, 2020
  • Advisory activities · 4 to 3
    Mar 18, 2020 to Apr 22, 2020
  • Financial planning clients · 0 to unset
    Mar 18, 2020 to Apr 22, 2020
  • Other offices · 1 to 0
    Mar 18, 2020 to Apr 22, 2020
  • Related adviser · true to false
    Mar 18, 2020 to Apr 22, 2020
  • Financial planning clients · unset to 0
    Sep 23, 2019 to Mar 18, 2020
Signals
2 dated events
  • M•••• E••••• C•••••• left I••••••••• A•••••• S••••••••• I••• for P•••••• I••••••••• M••••••••• I••• (registered 2020-09-28)
    Sep 30, 2023 · a•••••• firm change · fact
  • I••••••••• A•••••• S••••••••• I••• filed its initial SEC registration (Form ADV)
    Sep 23, 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