DFX Intelligence

RIA Intelligence

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A•••••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $11.4M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$11.4M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 312720 · SEC 801-121527 · 3 filingsShow
CRD 312720SEC 801-121527First filing on the tape May 18, 2021, latest Aug 6, 2021IAPD
RAUM
$11.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$11.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$11.4M as of Aug 6, 2021
May 18, 2021$10.0M then
HNW client RAUM$0 as of Aug 6, 2021
May 18, 2021$0 then
State-registered IARs (5.B.3)0 as of Aug 6, 2021
May 18, 20210 then
Employees (5.A)1 as of Aug 6, 2021
May 18, 20211 then
Private funds: no history
Practice profile
derived from the filing of Aug 6, 2021; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$11.4MderivedRAUM 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
$11.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$11.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the 10 longest tenured
      NameBranchHere sinceIn industryPrior firms
      S••• T•••• A••Houston, TxAug 18, 202115 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••• S•••• T•••• · Limited Partner And Chief Compliance Officercontrol
        since 01/2021 · owns 75% or more
      • A••• S•••• T•••• · Managing Membercontrol
        since 01/2021 · owns 75% or more of A•••••• G•• L••
      Entity owners
      • A•••••• G•• L•• · General Partner
        direct · owns less than 5%
      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
      • Discretionary RAUM · $10.0M to $11.4M
        May 18, 2021 to Jul 1, 2021
      • Pooled vehicle RAUM · $10.0M to $11.4M
        May 18, 2021 to Jul 1, 2021
      • RAUM · $10.0M to $11.4M
        May 18, 2021 to Jul 1, 2021
      Signals
      1 dated events
      • ••• Locked
        May 18, 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
      $11.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026