DFX Intelligence
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Asset manager (funds and pooled vehicles)SEC-registered1 private fundsUmbrella registration· Dallas, Texaswebsite
Asset manager (funds and pooled vehicles), based in Dallas, Texas, reporting $416M 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
- $416M
- Advisors
- 0
- RAUM change, last fiscal year
- +16%
- 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
Nothing material in the last 180 days. Last change: 26 Mar 2026, RAUM $360M to $416M (+15.6%) on the Form ADV filed 26 Mar 2026.
Every filed figure, and the identifiersCRD 324251 · SEC 801-127200 · 8 filingsShowHide
CRD 324251SEC 801-127200First filing on the tape Dec 16, 2022, latest Mar 26, 2026SEC status approved since Jan 13, 2023IAPD
RAUM
$416M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$416M as of Mar 26, 2026
Mar 27, 2024$331M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 27, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20240 then
Employees (5.A)5 as of Mar 26, 2026
Mar 27, 20245 then
Private funds1 as of Mar 26, 2026
Mar 27, 20241 then
RAUM +16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShowHide
- 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
- $416MderivedRAUM 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
- +16%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$416M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
0 on IAPD today; the 10 longest tenured
No representative is registered through this CRD on IAPD.
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• M••••• A••••••••• L• | Hedge Fund | $416M | 8 | Dec 16, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S••••• L••••• R•••••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- S••••••• C••••••• B••••••• · Manager And Sole Memebercontrolsince 12/2022 · owns 75% or more
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 · $360M to $416MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $360M to $416MMar 28, 2025 to Mar 26, 2026
- RAUM · $360M to $416MMar 28, 2025 to Mar 26, 2026
- Financial planning clients · unset to Oct 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $331M to $360MOct 23, 2024 to Mar 28, 2025
Full history · 17 changesShow fewer
- Pooled vehicle RAUM · $331M to $360MOct 23, 2024 to Mar 28, 2025
- RAUM · $331M to $360MOct 23, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Apr 12, 2024 to Oct 23, 2024
- Employees · 4 to 5Nov 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $260M to $331MNov 21, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $260M to $331MNov 21, 2023 to Mar 27, 2024
- RAUM · $260M to $331MNov 21, 2023 to Mar 27, 2024
- Accounts · 0 to 1Dec 16, 2022 to Apr 21, 2023
- Employees · 3 to 4Dec 16, 2022 to Apr 21, 2023
- Discretionary RAUM · $0 to $260MDec 16, 2022 to Apr 21, 2023
- Pooled vehicle RAUM · $0 to $260MDec 16, 2022 to Apr 21, 2023
- RAUM · $0 to $260MDec 16, 2022 to Apr 21, 2023
Signals
1 dated events
- ••• LockedDec 16, 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 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
Not yet on record: net advisor flow, 12 months.