DFX Intelligence
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Asset manager (funds and pooled vehicles)SEC-registered3 private funds· Dallas, Texas
Asset manager (funds and pooled vehicles), based in Dallas, Texas, reporting $575M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $575M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -11%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- private funds (Schedule D 7.B.1) 3Peer median 0
- Contact points 1
Every filed figure, and the identifiersCRD 321069 · SEC 801-125810 · 8 filingsShowHide
CRD 321069SEC 801-125810First filing on the tape May 5, 2022, latest Jun 29, 2026SEC status approved since Jun 6, 2022IAPD
RAUM
$575M
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
Not computed
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$575M as of Jun 29, 2026
Mar 31, 2023$496M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 31, 20230 then
Employees (5.A)3 as of Jun 29, 2026
Mar 31, 20232 then
Private funds3 as of Jun 29, 2026
Mar 31, 20231 then
RAUM -11% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $115MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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
- 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)
- 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$575M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••••• D••••••••• L• | Other Private Fund | $212M | 1 | Jun 29, 2026 |
| G••••••••• L• | Other Private Fund | $211M | 6 | Mar 31, 2023 |
| L•••••••• P•••••••• F••• L• | Other Private Fund | $70.0M | 1 | Jun 29, 2026 |
Owners and control persons
Schedule A and B, latest filing
- R•••••••• R•••• E••••• · Founder, Chief Investment Officer, Chief Compliance Officercontrolsince 02/2022 · owns 75% or more
- R••• K•••• D•••• · Chief Operations Officercontrolsince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (489 comparable advisers, 93.0th percentile of changes)peers: asset managers, $500M to $1B (489) · 93% percentile
What changed
consecutive filings, newest first
- HQ city · PALO ALTO to DALLASMar 31, 2026 to Jun 29, 2026
- HQ state · CA to TXMar 31, 2026 to Jun 29, 2026
- Accounts · 4 to 5Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 5Mar 28, 2025 to Mar 31, 2026
- Private funds · 2 to 3Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $644M to $575MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $644M to $575MMar 28, 2025 to Mar 31, 2026
- RAUM · $644M to $575MMar 28, 2025 to Mar 31, 2026
- Accounts · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Mar 27, 2024 to Mar 28, 2025
- Pooled vehicle clients · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Employees · 2 to 3Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Private funds · 1 to 2Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $562M to $644MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $562M to $644MMar 27, 2024 to Mar 28, 2025
- RAUM · $562M to $644MMar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $496M to $562MAug 15, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $496M to $562MAug 15, 2023 to Mar 27, 2024
- RAUM · $496M to $562MAug 15, 2023 to Mar 27, 2024
- Accounts · 2 to 3Nov 9, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Nov 9, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 3Nov 9, 2022 to Mar 31, 2023
- Employees · 1 to 2Nov 9, 2022 to Mar 31, 2023
- Other offices · 0 to 1Nov 9, 2022 to Mar 31, 2023
- Private funds · unset to 1Nov 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $413M to $496MNov 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $413M to $496MNov 9, 2022 to Mar 31, 2023
- RAUM · $413M to $496MNov 9, 2022 to Mar 31, 2023
- HQ city · SAN FRANCISCO to PALO ALTOMay 5, 2022 to Nov 9, 2022
Signals
6 dated events
- ••• LockedJun 29, 2026 · private fund first reported · fact
- ••• LockedJun 29, 2026 · private fund first reported · fact
- ••• LockedJun 29, 2026 · ria private fund assets change · fact
- ••• LockedJun 29, 2026 · ria hq relocated · fact
- ••• LockedMar 31, 2023 · Control person joined · fact
- ••• LockedMay 5, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 29, 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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026