DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••• R•••••••• P••••••• L•

Former SEC-registered adviserHouston, TexasCRD 316905SEC 801-122697websiteIAPD
Latest filing Mar 21, 2025
First filing on the tape Oct 15, 2021 · 8 filings
SEC status approved since Nov 12, 2021
RAUM
$500M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$500M as of Mar 21, 2025
Mar 8, 2022$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2025
Mar 8, 20220 then
Employees (5.A)4 as of Mar 21, 2025
Mar 8, 20224 then
Private funds: no history
RAUM +26% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2025; 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
$500MderivedRAUM 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
+26%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
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$500M100%
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••• M•••••• S•••••• · Chief Executive Officer, Chief Investment Officer, Ownercontrol
        since 07/2021 · owns 75% or more
      • W••••••• M•••••• L•• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer, Ownercontrol
        since 07/2021 · owns 10% to 25%
      • T••••••• M•••••• S•••••• · Membercontrol
        since 07/2021 · owns 75% or more of D••••• R•••••••• P••••••• G• L••
      • C••••••••• K•••• J••• · Senior Investment Analyst, Owner
        since 01/2024 · owns 10% to 25%
      Entity owners
      • D••••• R•••••••• P••••••• 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
      • Accounts · 2 to 1
        Mar 19, 2024 to May 24, 2024
      • Pooled vehicle clients · 2 to 1
        Mar 19, 2024 to May 24, 2024
      • Discretionary RAUM · $397M to $500M
        Mar 19, 2024 to May 24, 2024
      • Pooled vehicle RAUM · $397M to $500M
        Mar 19, 2024 to May 24, 2024
      • RAUM · $397M to $500M
        Mar 19, 2024 to May 24, 2024
      • Accounts · 3 to 2
        Mar 30, 2023 to Mar 19, 2024
      • Advisory employees · 4 to 3
        Mar 30, 2023 to Mar 19, 2024
      • Pooled vehicle clients · 3 to 2
        Mar 30, 2023 to Mar 19, 2024
      • Employees · 5 to 4
        Mar 30, 2023 to Mar 19, 2024
      • Discretionary RAUM · $428M to $397M
        Mar 30, 2023 to Mar 19, 2024
      • Pooled vehicle RAUM · $428M to $397M
        Mar 30, 2023 to Mar 19, 2024
      • RAUM · $428M to $397M
        Mar 30, 2023 to Mar 19, 2024
      • Accounts · 1 to 3
        Mar 8, 2022 to Mar 30, 2023
      • Advisory employees · 3 to 4
        Mar 8, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 1 to 3
        Mar 8, 2022 to Mar 30, 2023
      • Employees · 4 to 5
        Mar 8, 2022 to Mar 30, 2023
      • Discretionary RAUM · $200M to $428M
        Mar 8, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $200M to $428M
        Mar 8, 2022 to Mar 30, 2023
      • RAUM · $200M to $428M
        Mar 8, 2022 to Mar 30, 2023
      • Accounts · unset to 1.0
        Feb 10, 2022 to Mar 8, 2022
      • Pooled vehicle clients · unset to 1.0
        Feb 10, 2022 to Mar 8, 2022
      • Discretionary RAUM · unset to 200000000.0
        Feb 10, 2022 to Mar 8, 2022
      • Non-discretionary RAUM · unset to 0.0
        Feb 10, 2022 to Mar 8, 2022
      • Pooled vehicle RAUM · unset to 200000000.0
        Feb 10, 2022 to Mar 8, 2022
      • RAUM · unset to 200000000.0
        Feb 10, 2022 to Mar 8, 2022
      Signals
      6 dated events
      • D••••• R•••••••• P••••••• L• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $500.0M)
        Aug 1, 2025 · Left the SEC roster · derived
      • D••••• R•••••••• P••••••• L• reported RAUM $500.0M, up 26% from $397.1M (2024-03-19 to 2024-05-24)
        May 24, 2024 · RAUM change · derived
      • Patrick Michael Evanoski (Member) no longer on Schedule A of D••••• R•••••••• P••••••• L• (listed 2024-03-19, absent 2024-05-24)
        May 24, 2024 · Control person left · inference
      • James Harrison Little (Director Of Research, Owner) no longer on Schedule A of D••••• R•••••••• P••••••• L• (listed 2023-03-30, absent 2024-03-19)
        Mar 19, 2024 · Control person left · inference
      • D••••• R•••••••• P••••••• L• reported RAUM $427.9M, up 114% from $200.0M (2022-03-08 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • D••••• R•••••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Oct 15, 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