DFX Intelligence

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S••••••• P••••••••• P••••••• M•••••• I••• L••

Asset manager (funds and pooled vehicles)SEC-registered· Houston, Texaswebsite

Asset manager (funds and pooled vehicles), based in Houston, Texas, reporting $650M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $650M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: -4.8%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 310572 · SEC 801-119630 · 10 filingsShow

CRD 310572SEC 801-119630First filing on the tape Sep 14, 2020, latest Mar 24, 2026SEC status approved since Oct 14, 2020IAPD

RAUM

$650M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$650M as of Mar 24, 2026

Mar 26, 2021$637M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 24, 2026

Mar 26, 20210 then

Employees (5.A)20 as of Mar 24, 2026

Mar 26, 202125 then

Private funds: no history

RAUM -4.8% over the last fiscal year-8.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 24, 2026; 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: $217MderivedRAUM 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: -4.8%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: yesreportedItem 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$650M100%

Individual clients: 0reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• F••••• A••••• · President And Chief Executive Officer, Directorcontrol
since 08/2023 · owns less than 5%
G••••••• I••• R••••••• G••••••• · Vice President - Operationscontrol
since 03/2020 · owns less than 5%
H•••••• M••••••• R•••••• · Vice President, General Counsel, Chief Compliance Officer And Secretarycontrol
since 03/2020 · owns less than 5%
J••••• C•••••• · Directorcontrol
since 09/2020 · owns less than 5%
K•••• D••••• S•••••• · Directorcontrol
since 09/2020 · owns less than 5%
L•••••••• P••••• R••••• · Vice President - Engineeringcontrol
since 08/2023 · owns less than 5%
S••••• J•••• N•••••••• · Directorcontrol
since 09/2020 · owns less than 5%
S•••••••• A••••• K•••••• · Vice President And Chief Financial Officercontrol
since 03/2020 · owns less than 5%
Y•••••••• J•••• A•••••• · Directorcontrol
since 09/2020 · owns less than 5%
S••••••• L•••• A••• · Membercontrol
since 07/2020 · owns 75% or more of S••••••• S•• S••••••••• I••• L••
S••••••• L•••• A••• · Membercontrol
since 07/2020 · owns 25% to 50% of S••••••• S•• I••• L••
S••••••• L•••• A••• · Executive Chairman Of The Investment Committee, Director
since 09/2020 · owns less than 5%

Entity owners

S••••••• S•• I••• L•• · Member
direct · owns 50% to 75%
S••••••• S•• S••••••••• I••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

S••••••• P••••••••• P••••••• I••• L••
pooled vehicle sponsory
S•• I•••• G•• L••
pooled vehicle sponsory
S•• I•••• G•• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $683M to $650M
Mar 26, 2025 to Mar 24, 2026
Pooled vehicle RAUM · $683M to $650M
Mar 26, 2025 to Mar 24, 2026
RAUM · $683M to $650M
Mar 26, 2025 to Mar 24, 2026
Accounts · 11 to 3
Oct 8, 2024 to Mar 26, 2025
Employees · 25 to 20
Oct 8, 2024 to Mar 26, 2025
Financial planning clients · unset to
Oct 8, 2024 to Mar 26, 2025
Discretionary RAUM · $676M to $683M
Oct 8, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $676M to $683M
Oct 8, 2024 to Mar 26, 2025
RAUM · $676M to $683M
Oct 8, 2024 to Mar 26, 2025
Accounts · 20 to 11
Aug 9, 2023 to Mar 26, 2024
Discretionary RAUM · $860M to $676M
Aug 9, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $860M to $676M
Aug 9, 2023 to Mar 26, 2024
RAUM · $860M to $676M
Aug 9, 2023 to Mar 26, 2024
Accounts · 11 to 20
Mar 30, 2022 to Mar 29, 2023
Discretionary RAUM · $816M to $860M
Mar 30, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $816M to $860M
Mar 30, 2022 to Mar 29, 2023
RAUM · $816M to $860M
Mar 30, 2022 to Mar 29, 2023
Accounts · 20 to 11
Mar 26, 2021 to Mar 30, 2022
Discretionary RAUM · $637M to $816M
Mar 26, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $637M to $816M
Mar 26, 2021 to Mar 30, 2022
RAUM · $637M to $816M
Mar 26, 2021 to Mar 30, 2022
Discretionary RAUM · $629M to $637M
Jan 2, 2021 to Mar 26, 2021
Pooled vehicle RAUM · $629M to $637M
Jan 2, 2021 to Mar 26, 2021
RAUM · $629M to $637M
Jan 2, 2021 to Mar 26, 2021
Accounts · 0 to 20
Sep 14, 2020 to Jan 2, 2021
Pooled vehicle clients · unset to 3.0
Sep 14, 2020 to Jan 2, 2021
Assets in custody · unset to 0.0
Sep 14, 2020 to Jan 2, 2021
Custody of client assets · false to true
Sep 14, 2020 to Jan 2, 2021
Discretionary RAUM · $0 to $629M
Sep 14, 2020 to Jan 2, 2021
Pooled vehicle RAUM · unset to 629000000.0
Sep 14, 2020 to Jan 2, 2021
RAUM · $0 to $629M
Sep 14, 2020 to Jan 2, 2021

Signals

9 dated events

••• Locked
Mar 24, 2026 · ria principal change · derived
••• Locked
Mar 24, 2026 · ria principal change · derived
••• Locked
Mar 24, 2026 · Control person left · inference
••• Locked
Mar 24, 2026 · Control person left · inference
••• Locked
Oct 8, 2024 · Control person left · inference
••• Locked
Aug 9, 2023 · Control person joined · fact
••• Locked
Aug 9, 2023 · Control person joined · fact
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Sep 14, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026

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: Asset manager (funds and pooled vehicles)deriveda 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