DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••• S•• A•••••••• L••

Asset manager (funds and pooled vehicles)Bellaire, TexasCRD 311751SEC 801-119985website IAPD

Legal name C•••• S•• C••••• S•••••••• I••••••••• M••••••••• L••

Latest filing Mar 30, 2026

First filing on the tape Nov 17, 2020 · 24 filings

SEC status approved since Dec 17, 2020

RAUM

$467M

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$467M as of Mar 30, 2026

Mar 30, 2021$50.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 30, 20210 then

Employees (5.A)5 as of Mar 30, 2026

Mar 30, 202114 then

Private funds5 as of Mar 30, 2026

Mar 30, 20213 then

RAUM -9.3% over the last fiscal year-35% a year over threeIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Mar 30, 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: $58.3MderivedRAUM 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: -9.3%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $467M, 8 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)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$467M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $467M for 8 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

10 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
L•••• C•••••• M••••• F•••• L•••	Hedge Fund	$238M	14	Sep 15, 2021
C••••• C• S••••••• M••••• F••• I•• L••	Hedge Fund	$237M	5	Sep 15, 2021
P• C••••• I• L••	Hedge Fund	$229M	1	Aug 23, 2019
E• D••••• E••••••••• L••	Hedge Fund	$195M	2	Sep 15, 2021
G••••• S•••• E••••••••• L••	Hedge Fund	$82.6M	1	Mar 30, 2021
B•• C••••• L••	Hedge Fund	$52.9M	3	Sep 15, 2021
M••••• C••••• S••••••• M••••• F•••• L••	Hedge Fund	$15.2M	10	Jun 28, 2024
C•••• S•• E••••••• I•••••••• C••••• M••••• F•••• L•	Hedge Fund	$6.3M	1	Mar 30, 2021
C•••• S•• E••••••• I•••••••• C••••• F•••• L•no longer reported	Hedge Fund	$0	0	Mar 30, 2021
C•••• S•• E••••••• I•••••••• C••••• O•••••••• L•••no longer reported	Hedge Fund	$0	0	Mar 30, 2021

Owners and control persons

Schedule A and B, latest filing

K••••••• O•••• M••••• · Chief Operating Officer, Directer Of Operationscontrol
since 11/2020 · owns less than 5%
R•••••• E••••••••• V••••••• · General Counsel And Chief Compliance Officercontrol
since 12/2023 · owns less than 5%
S••••• S••••• R••• · Chief Executive Officercontrol
since 11/2020 · owns less than 5%
S•••• A•••• · Chief Financial Officercontrol
since 11/2020 · owns less than 5%
K••••••• O•••• M••••• · Managercontrol
since 12/2020 · owns 75% or more of C••••••• H••••••• L••
S••••• S••••• R••• · Managercontrol
since 12/2020 · owns 75% or more of A••• I••••••••• L••
S•••• A•••• · Managercontrol
since 12/2020 · owns 75% or more of A••••••• H••••••• L••

Entity owners

A••• I••••••••• L•• · Member
direct · owns 25% to 50%
A••••••• H••••••• L•• · Member
direct · owns 25% to 50%
C••••••• H••••••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

C•••• S•• C••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY3 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 6 to 8
Jan 30, 2026 to Mar 30, 2026
Pooled vehicle clients · 6 to 8
Jan 30, 2026 to Mar 30, 2026
Assets in custody · $515M to $467M
Jan 30, 2026 to Mar 30, 2026
Employees · 6 to 5
Jan 30, 2026 to Mar 30, 2026
Private funds · 4 to 5
Jan 30, 2026 to Mar 30, 2026
Discretionary RAUM · $515M to $467M
Jan 30, 2026 to Mar 30, 2026
Pooled vehicle RAUM · $515M to $467M
Jan 30, 2026 to Mar 30, 2026
RAUM · $515M to $467M
Jan 30, 2026 to Mar 30, 2026
Other offices · 1 to 0
Mar 31, 2025 to Aug 20, 2025
Accounts · 8 to 6
Jan 21, 2025 to Mar 31, 2025
Advisory employees · 5 to 2
Jan 21, 2025 to Mar 31, 2025
Advisory activities · 3 to 2
Jan 21, 2025 to Mar 31, 2025
Pooled vehicle clients · 13 to 6
Jan 21, 2025 to Mar 31, 2025
Assets in custody · $720M to $515M
Jan 21, 2025 to Mar 31, 2025
Employees · 15 to 6
Jan 21, 2025 to Mar 31, 2025
Financial planning clients · unset to
Jan 21, 2025 to Mar 31, 2025
Other offices · 2 to 1
Jan 21, 2025 to Mar 31, 2025
Private funds · 6 to 4
Jan 21, 2025 to Mar 31, 2025
Discretionary RAUM · $1.0B to $515M
Jan 21, 2025 to Mar 31, 2025
Pooled vehicle RAUM · $735M to $515M
Jan 21, 2025 to Mar 31, 2025
RAUM · $1.0B to $515M
Jan 21, 2025 to Mar 31, 2025
Legal name · C•••• S•• A•••••••• L•• to C•••• S•• C••••• S•••••••• I••••••••• M••••••••• L••
Nov 15, 2024 to Jan 21, 2025
HQ city · HOUSTON to BELLAIRE
Jun 28, 2024 to Jul 12, 2024
Accounts · 11 to 8
Mar 28, 2024 to Jun 28, 2024
Pooled vehicle clients · 17 to 13
Mar 28, 2024 to Jun 28, 2024
Assets in custody · $904M to $720M
Mar 28, 2024 to Jun 28, 2024
Discretionary RAUM · $1.3B to $1.0B
Mar 28, 2024 to Jun 28, 2024
Pooled vehicle RAUM · $998M to $735M
Mar 28, 2024 to Jun 28, 2024
RAUM · $1.3B to $1.0B
Mar 28, 2024 to Jun 28, 2024
Accounts · 18 to 11
Nov 15, 2023 to Mar 28, 2024
Advisory employees · 9 to 5
Nov 15, 2023 to Mar 28, 2024
Assets in custody · $1.0B to $904M
Nov 15, 2023 to Mar 28, 2024
Employees · 23 to 15
Nov 15, 2023 to Mar 28, 2024
Private funds · 7 to 6
Nov 15, 2023 to Mar 28, 2024
Discretionary RAUM · $1.7B to $1.3B
Nov 15, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $1.2B to $998M
Nov 15, 2023 to Mar 28, 2024
RAUM · $1.7B to $1.3B
Nov 15, 2023 to Mar 28, 2024
Accounts · 11 to 18
Jan 4, 2023 to Mar 30, 2023
Advisory employees · 5 to 9
Jan 4, 2023 to Mar 30, 2023
Pooled vehicle clients · 10 to 17
Jan 4, 2023 to Mar 30, 2023

Signals

11 dated events

C•••• S•• A•••••••• L•• reported RAUM $514.5M, down 51% from $1.0B (2025-01-21 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
Michael John Segrich (Chief Investment Officer) no longer on Schedule A of C•••• S•• A•••••••• L•• (listed 2024-03-28, absent 2024-06-28)
Jun 28, 2024 · Control person left · inference
Victoria Elizabeth Ryvkin (General Counsel And Chief Compliance Officer) appeared on Schedule A of C•••• S•• A•••••••• L••
Mar 28, 2024 · Control person joined · fact
L Adam Hoffman (Chief Compliance Officer) no longer on Schedule A of C•••• S•• A•••••••• L•• (listed 2023-07-06, absent 2023-11-15)
Nov 15, 2023 · Control person left · inference
Robert Defranco (Chief Risk Officer) no longer on Schedule A of C•••• S•• A•••••••• L•• (listed 2023-03-30, absent 2023-07-06)
Jul 6, 2023 · Control person left · inference
Danielle Marisa Chuliver (Member, Head Of Business Development) no longer on Schedule A of C•••• S•• A•••••••• L•• (listed 2023-01-04, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
L Adam Hoffman (Chief Compliance Officer) appeared on Schedule A of C•••• S•• A•••••••• L••
Mar 30, 2023 · Control person joined · fact
L Derek Rogers (Principal, Portfolio Manager) no longer on Schedule A of C•••• S•• A•••••••• L•• (listed 2021-09-15, absent 2022-03-31)
Mar 31, 2022 · Control person left · inference
Robert Defranco (Chief Risk Officer) appeared on Schedule A of C•••• S•• A•••••••• L••
Mar 31, 2022 · Control person joined · fact
C•••• S•• A•••••••• L•• reported RAUM $1.4B, up 2713% from $50.0M (2021-03-30 to 2021-09-15)
Sep 15, 2021 · RAUM change · derived
C•••• S•• A•••••••• L•• filed its initial SEC registration (Form ADV)
Nov 17, 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: c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 713-263-3300reportedpublic record, Form ADV, Mar 30, 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