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

N•• C•••••• P•••••••• L••

Former SEC-registered adviserHouston, TexasCRD 307526SEC 801-118269IAPD
Latest filing Aug 27, 2020
First filing on the tape Feb 19, 2020 · 8 filings
RAUM
$31.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$20.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 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$31.0M as of Aug 27, 2020
Feb 19, 2020$0 then
HNW client RAUM$12.8M as of Aug 27, 2020
Jul 17, 2020$12.8M then
State-registered IARs (5.B.3)2 as of Aug 27, 2020
Feb 19, 20202 then
Employees (5.A)4 as of Aug 27, 2020
Feb 19, 20203 then
Private funds: no history
Practice profile
derived from the filing of Aug 27, 2020; every figure names its basis
RAUM per advisor
$15.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$136,613derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$12.8M41%
  • Pension and profit-sharing plans$10.1M33%
  • Individuals$7.6M25%
  • Charitable organizations$429,0841.4%
Individual clients
134reported
HNW clients
10reported
Pension plan clients
14reported
Charitable clients
n/areported
Accounts
227reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••• A••••••••• R• · Managing Partnercontrol
    since 04/2020 · owns 25% to 50%
  • N••••••• S•••••• M•••••• · Managing Partner And Chief Compliance Officercontrol
    since 04/2020 · owns 25% to 50%
  • V•••••• M••• · Managing Partnercontrol
    since 04/2020 · owns 25% to 50%
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
  • Employees · 3 to 4
    Jul 17, 2020 to Aug 11, 2020
  • Accounts · 0 to 227
    Jun 29, 2020 to Jul 17, 2020
  • HNW clients · unset to 10.0
    Jun 29, 2020 to Jul 17, 2020
  • Individual clients · unset to 134.0
    Jun 29, 2020 to Jul 17, 2020
  • Pension plan clients · unset to 14.0
    Jun 29, 2020 to Jul 17, 2020
  • Discretionary RAUM · $0 to $31.0M
    Jun 29, 2020 to Jul 17, 2020
  • HNW RAUM · unset to 12795381.0
    Jun 29, 2020 to Jul 17, 2020
  • Individual RAUM · unset to 7648745.0
    Jun 29, 2020 to Jul 17, 2020
  • Pension RAUM · unset to 10137912.0
    Jun 29, 2020 to Jul 17, 2020
  • RAUM · $0 to $31.0M
    Jun 29, 2020 to Jul 17, 2020
  • Business name · M•• C••••••• L•• to N•• C•••••• P•••••••• L••
    Feb 19, 2020 to Apr 29, 2020
  • Legal name · M•• C••••••• L•• to N•• C•••••• P•••••••• L••
    Feb 19, 2020 to Apr 29, 2020
  • Advisory activities · 2 to 3
    Apr 29, 2020 to Apr 29, 2020
Signals
6 dated events
  • S••••• M•••••• N•••••• left N•• C•••••• P•••••••• L•• for N•••••• W••••• M••••••••• (registered 2022-11-09)
    Jan 3, 2023 · Advisor changed firm · fact
  • R Alejandro Mendez (Managing Partner) appeared on Schedule A of N•• C•••••• P•••••••• L••
    Apr 29, 2020 · Control person joined · fact
  • M•••••• S••••• N•••••• (Managing Partner And Chief Compliance Officer) appeared on Schedule A of N•• C•••••• P•••••••• L••
    Apr 29, 2020 · Control person joined · fact
  • Mark Valdez (Managing Partner) appeared on Schedule A of N•• C•••••• P•••••••• L••
    Apr 29, 2020 · Control person joined · fact
  • Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• P•••••••• L•• (listed 2020-02-19, absent 2020-04-29)
    Apr 29, 2020 · Control person left · inference
  • M•• C••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 19, 2020 · 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