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
R•••• P•••••• C••••• L••
Latest filing Jun 18, 2024
First filing on the tape May 12, 2021 · 8 filings
RAUM
$64.9M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$63.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$64.9M as of Mar 13, 2024
Mar 29, 2022$112M then
HNW client RAUM$35.8M as of Mar 13, 2024
Mar 29, 2022$65.0M then
State-registered IARs (5.B.3)1 as of Mar 13, 2024
Mar 29, 20222 then
Employees (5.A)4 as of Mar 13, 2024
Mar 29, 20225 then
Private funds: no history
RAUM -20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 18, 2024; every figure names its basis
- RAUM per advisor
- $64.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $178,774derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -30%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $81.0MreportedItem 5.I
- Custody
- $5.0M, 40 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35.8M55%
- Individuals$27.5M42%
- Pension and profit-sharing plans$1.3M1.9%
- Corporations and businesses$165,8340.3%
- Charitable organizations$113,5940.2%
- Individual clients
- 165reported
- HNW clients
- 16reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 363reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $5.0M for 40 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- D•••••• H••••• J•••• to E• W••••• A•••••••Nov 22, 2024 · RIA to RIA
- J••••••• L••••••• to A••••• C•••••• P•••••••• L••Mar 15, 2021 · RIA to RIA
Joined, latest
- D•••••• H••••• J•••• from C•••••• S••••• • C••• I•••May 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••••• L••••••• from R•••• W••••• A•••••••• L••Mar 2, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• F••••••• · Managing Membercontrolsince 05/2022 · owns 10% to 25%
- J••••• D••••••• H••••• · Ccocontrolsince 03/2024 · owns less than 5%
- C••••• M•••••• · Membersince 05/2022 · owns 10% to 25%
- R••••• M••••• · Membersince 12/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Graham, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Graham, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 382 to 363Jun 16, 2023 to Mar 13, 2024
- Charity clients · 3 to 2Jun 16, 2023 to Mar 13, 2024
- HNW clients · 36 to 16Jun 16, 2023 to Mar 13, 2024
- Individual clients · 224 to 165Jun 16, 2023 to Mar 13, 2024
- Pension plan clients · 4 to 2Jun 16, 2023 to Mar 13, 2024
- Discretionary RAUM · $79.9M to $61.9MJun 16, 2023 to Mar 13, 2024
- HNW RAUM · $53.0M to $35.8MJun 16, 2023 to Mar 13, 2024
- Individual RAUM · $25.7M to $27.5MJun 16, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $1.1M to $3.0MJun 16, 2023 to Mar 13, 2024
- Pension RAUM · $2.0M to $1.3MJun 16, 2023 to Mar 13, 2024
- RAUM · $81.0M to $64.9MJun 16, 2023 to Mar 13, 2024
- Accounts · 600 to 382Mar 29, 2022 to Jun 16, 2023
- Advisory employees · 2 to 1Mar 29, 2022 to Jun 16, 2023
- Charity clients · unset to 3.0Mar 29, 2022 to Jun 16, 2023
- Corporate clients · unset to 2.0Mar 29, 2022 to Jun 16, 2023
- HNW clients · 35 to 36Mar 29, 2022 to Jun 16, 2023
- Individual clients · 500 to 224Mar 29, 2022 to Jun 16, 2023
- Pension plan clients · unset to 4.0Mar 29, 2022 to Jun 16, 2023
- Employees · 5 to 4Mar 29, 2022 to Jun 16, 2023
- Insurance-licensed employees · 1 to 0Mar 29, 2022 to Jun 16, 2023
- State-registered IARs · 2 to 1Mar 29, 2022 to Jun 16, 2023
- Discretionary RAUM · $112M to $79.9MMar 29, 2022 to Jun 16, 2023
- HNW RAUM · $65.0M to $53.0MMar 29, 2022 to Jun 16, 2023
- Individual RAUM · $47.0M to $25.7MMar 29, 2022 to Jun 16, 2023
- Non-discretionary RAUM · $0 to $1.1MMar 29, 2022 to Jun 16, 2023
- Pension RAUM · unset to 2002377.0Mar 29, 2022 to Jun 16, 2023
- RAUM · $112M to $81.0MMar 29, 2022 to Jun 16, 2023
- Related adviser · true to falseMar 29, 2022 to Jun 16, 2023
- Accounts · 590 to 600Nov 19, 2021 to Mar 29, 2022
- HNW clients · 25 to 35Nov 19, 2021 to Mar 29, 2022
- Individual clients · 225 to 500Nov 19, 2021 to Mar 29, 2022
- Assets in custody · unset to 5000000.0Nov 19, 2021 to Mar 29, 2022
- Custody of client assets · false to trueNov 19, 2021 to Mar 29, 2022
- Financial planning clients · 0 to 101-250Nov 19, 2021 to Mar 29, 2022
- Discretionary RAUM · $108M to $112MNov 19, 2021 to Mar 29, 2022
- HNW RAUM · $70.0M to $65.0MNov 19, 2021 to Mar 29, 2022
- Individual RAUM · $38.0M to $47.0MNov 19, 2021 to Mar 29, 2022
- RAUM · $108M to $112MNov 19, 2021 to Mar 29, 2022
- Advisory employees · 1 to 2May 12, 2021 to Nov 19, 2021
- Financial planning clients · unset to 0May 12, 2021 to Nov 19, 2021
Signals
5 dated events
- D•••••• H••••• J•••• left R•••• P•••••• C••••• L•• for E• W••••• A••••••• (registered 2024-11-26)Nov 22, 2024 · Advisor changed firm · fact
- H Douglas Jones (Cco) appeared on Schedule A of R•••• P•••••• C••••• L••Apr 15, 2024 · Control person joined · fact
- Eugene William R•••• (Chief Compliance Officer/Managing Member/Ceo) no longer on Schedule A of R•••• P•••••• C••••• L•• (listed 2022-03-29, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- F••••••• B•••••• (Managing Member/Chief Compliance Officer) appeared on Schedule A of R•••• P•••••• C••••• L••Jun 16, 2023 · Control person joined · fact
- R•••• P•••••• C••••• L•• filed its initial SEC registration (Form ADV)May 12, 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