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••••• F•••••••• L••
Latest filing Jun 27, 2024
First filing on the tape Sep 3, 2020 · 17 filings
SEC status approved since Oct 7, 2020
RAUM
$1.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM: $1.1M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2024
May 11, 20210 then
Employees (5.A)2 as of Jun 27, 2024
May 11, 20213 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 2024; 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
- $21derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 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
- portfolio management for individuals, publicationsreportedItem 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
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.1M100%
- Individual clients
- 52,329reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52,329reported
- Financial planning clients
- 0reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J••••• M•••••• · Interim Ccocontrolsince 02/2024 · owns less than 5%
- D•••••••• K••••• R•••••• · Ceo And Cfocontrolsince 11/2019 · owns less than 5%
- D•••••••• K••••• R•••••• · Shareholdercontrolsince 10/2012 · owns 75% or more of M••••••••• H••••••• L••••••
Entity owners
- M••••••••• H••••••• L•••••• · Sole Shareholderdirect · owns 75% or more
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
- HQ city · SAN ANTONIO to LAREDOMar 7, 2024 to Jun 27, 2024
- Advisory employees · 0 to 2Mar 1, 2024 to Mar 6, 2024
- Employees · 3 to 2Mar 1, 2024 to Mar 6, 2024
- Accounts · unset to 52329.0Jul 11, 2023 to Oct 27, 2023
- Individual clients · 43,000 to 52,329Jul 11, 2023 to Oct 27, 2023
- Discretionary RAUM · unset to 0.0Jul 11, 2023 to Oct 27, 2023
- Individual RAUM · $0 to $1.1MJul 11, 2023 to Oct 27, 2023
- Non-discretionary RAUM · unset to 1118922.0Jul 11, 2023 to Oct 27, 2023
- RAUM · unset to 1118922.0Jul 11, 2023 to Oct 27, 2023
- Business name · S••••• I••••• L•• to I••••• F•••••••• L••Jul 6, 2023 to Jul 11, 2023
- Business name · I••••• to S••••• I••••• L••May 1, 2023 to Jul 6, 2023
- Individual clients · 3,000 to 43,000May 1, 2023 to Jul 6, 2023
- HQ city · NEW YORK to SAN ANTONIOJun 17, 2022 to May 1, 2023
- HQ state · NY to TXJun 17, 2022 to May 1, 2023
- Advisory activities · 1 to 3May 11, 2021 to Jun 17, 2022
- Individual clients · unset to 3000.0May 11, 2021 to Jun 17, 2022
- Individual RAUM · unset to 0.0May 11, 2021 to Jun 17, 2022
Signals
7 dated events
- I••••• F•••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $1.1M)Feb 3, 2025 · Left the SEC roster · derived
- Pierre Shawn Hockaday (President) no longer on Schedule A of I••••• F•••••••• L•• (listed 2024-03-07, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- D Jacob Palmer (Chief Compliance Officer) no longer on Schedule A of I••••• F•••••••• L•• (listed 2024-03-01, absent 2024-03-06)Mar 6, 2024 · Control person left · inference
- M•••••• J•••• A•••••• (Interim Cco) appeared on Schedule A of I••••• F•••••••• L••Mar 6, 2024 · Control person joined · fact
- Pierre Shawn Hockaday (President) appeared on Schedule A of I••••• F•••••••• L••Jul 6, 2023 · Control person joined · fact
- Jay Kevin Rich (Chief Compliance Officer And Coo) no longer on Schedule A of I••••• F•••••••• L•• (listed 2022-06-17, absent 2023-05-01)May 1, 2023 · Control person left · inference
- Invstr filed its initial SEC registration (Form ADV)Sep 3, 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