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

1••• C••••••• L••

Former SEC-registered adviserPlano, TexasCRD 318637SEC 801-124700websiteIAPD
Latest filing Dec 15, 2025
First filing on the tape Mar 22, 2022 · 12 filings
SEC status approved since Apr 22, 2022
RAUM
$188M
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$188M as of Dec 15, 2025
Jan 26, 2023$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 15, 2025
Jan 26, 20230 then
Employees (5.A)7 as of Dec 15, 2025
Jan 26, 20237 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 15, 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
$12.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
+24%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 institutionsreportedItem 5.G
Custody
$171M, 5 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$188M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$171M for 5 clientsreported
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
      • S••••••••• V••••••• M•••••• · Chief Compliance Officer And Ciocontrol
        since 12/2021 · owns less than 5%
      • K•••• K••••••• N•• · Membercontrol
        since 07/2012 · owns 75% or more of A•••••••• C•••••• H••••••• L••
      • K••• S••••• · Membercontrol
        since 12/2021 · owns 50% to 75% of V•• 1••• L••
      • S••••••••• V••••••• M•••••• · Membercontrol
        since 12/2021 · owns 50% to 75% of V•• 1••• L••
      • K••• S••••• · Chief Executive Officer
        since 04/2022 · owns less than 5%
      Entity owners
      • 1••• C•••••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • A•••••••• C•••••• H••••••• L•• · Member
        indirect · owns 75% or more of P••• 1••• L••
      • P••• 1••• L•• · Member
        indirect · owns 50% to 75% of 1••• C•••••• H••••••• L••
      • V•• 1••• L•• · Member
        indirect · owns 50% to 75% of 1••• C•••••• H••••••• L••
      Related persons
      Schedule D 7.A
      • A•••••••• C•••••• M•••••••••
        investment advisernRAUM $8.3B
      • A••••••• C•••• L••• I•••••••• C••••••
        real estatey
      • H•••••••• I•••••••• C••••••
        real estatey
      • J••• R••••••••• C••••••
        real estatey
      • S••••••• S••••••• L••• I•••••••• C••••••
        real estatey
      • S••••••• A••••••• R• I•••
        real estatey
      Advisers that list 1••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 29 to 15
        Mar 8, 2024 to Mar 27, 2025
      • Financial planning clients · 0 to 0
        Mar 8, 2024 to Mar 27, 2025
      • Discretionary RAUM · $152M to $188M
        Mar 8, 2024 to Mar 27, 2025
      • RAUM · $152M to $188M
        Mar 8, 2024 to Mar 27, 2025
      • Accounts · 478 to 29
        Aug 9, 2023 to Mar 8, 2024
      • Discretionary RAUM · $142M to $152M
        Aug 9, 2023 to Mar 8, 2024
      • Non-discretionary RAUM · $29.9M to $0
        Aug 9, 2023 to Mar 8, 2024
      • RAUM · $171M to $152M
        Aug 9, 2023 to Mar 8, 2024
      • Accounts · 1 to 478
        Jun 9, 2023 to Aug 9, 2023
      • Assets in custody · $134M to $171M
        Jun 9, 2023 to Aug 9, 2023
      • Discretionary RAUM · $134M to $142M
        Jun 9, 2023 to Aug 9, 2023
      • Non-discretionary RAUM · $0 to $29.9M
        Jun 9, 2023 to Aug 9, 2023
      • RAUM · $134M to $171M
        Jun 9, 2023 to Aug 9, 2023
      • Accounts · 8 to 1
        Aug 30, 2022 to Jan 26, 2023
      • Assets in custody · $3.8M to $134M
        Aug 30, 2022 to Jan 26, 2023
      • Discretionary RAUM · $115M to $134M
        Aug 30, 2022 to Jan 26, 2023
      • RAUM · $115M to $134M
        Aug 30, 2022 to Jan 26, 2023
      • Assets in custody · unset to 3800000.0
        May 5, 2022 to Aug 30, 2022
      • Custody of client assets · false to true
        May 5, 2022 to Aug 30, 2022
      • Accounts · 0 to 8
        Mar 22, 2022 to May 5, 2022
      • Discretionary RAUM · $0 to $115M
        Mar 22, 2022 to May 5, 2022
      • RAUM · $0 to $115M
        Mar 22, 2022 to May 5, 2022
      Signals
      2 dated events
      • 1••• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $188.2M)
        Feb 2, 2026 · Left the SEC roster · derived
      • 1••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 22, 2022 · 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