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
C••••••••• E••••• M••••••••• L•
Latest filing Sep 1, 2021
First filing on the tape Jun 28, 2021 · 2 filings
RAUM
$80.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$80.1M gross assets
History
2 filings and snapshots on the tape
RAUM: $80.1M
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 1, 2021
Jun 28, 20211 then
Employees (5.A)8 as of Sep 1, 2021
Jun 28, 20218 then
Private funds: 1
Practice profile
derived from the filing of Sep 1, 2021; every figure names its basis
- RAUM per advisor
- $80.1MderivedRAUM 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
- $80.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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-basedreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$80.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- 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
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• E••••• F••• I• L••• | Real Estate Fund | $80.1M | 45 | Sep 1, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••• J• K••• · Managing Partner, Chief Investment Officercontrolsince 03/2021 · owns less than 5%
- K•••••••• J••••••• J•••• · Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- S••••• S•••••• T••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- B•••• J• K••• · Sole Membercontrolsince 03/2021 · owns 75% or more of C••••••••• H•••••••• L••
- B•••• J• K••• · Trusteecontrolsince 05/2014 · owns F of F••• C••• R•••••••• T••••
Entity owners
- C••••••••• H•••••••• L•• · General Partnerdirect · owns less than 5%
- F••• C••• R•••••••• T•••• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• E••••• F••• I• G•• L•pooled vehicle sponsorn
- H••••• C•••••• M••••••••• L•investment adviserbanknRAUM $304M
Offices
Schedule D 1.F, the 25 largest
- Nacogdoches, TX3 employees
What changed
consecutive filings, newest first
- Accounts · unset to 1.0Jun 28, 2021 to Sep 1, 2021
- Pooled vehicle clients · unset to 1.0Jun 28, 2021 to Sep 1, 2021
- Private funds · unset to 1Jun 28, 2021 to Sep 1, 2021
- Discretionary RAUM · unset to 80065000.0Jun 28, 2021 to Sep 1, 2021
- Non-discretionary RAUM · unset to 0.0Jun 28, 2021 to Sep 1, 2021
- Pooled vehicle RAUM · unset to 80065000.0Jun 28, 2021 to Sep 1, 2021
- RAUM · unset to 80065000.0Jun 28, 2021 to Sep 1, 2021
Signals
1 dated events
- C••••••••• E••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 28, 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
Across the graphs
C••••••••• E••••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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