DFX Intelligence
RIA Intelligence
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SEC-registered adviser
9••• C••••••• L•
Latest filing Jul 1, 2026
First filing on the tape Dec 8, 2022 · 8 filings
SEC status approved since Jan 6, 2023
RAUM
$677M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.2%
$8.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$226M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$677M as of Jul 1, 2026
Mar 26, 2024$118M then
HNW client RAUM$8.1M as of Jul 1, 2026
Mar 9, 2025$3.1M then
State-registered IARs (5.B.3)3 as of Jul 1, 2026
Mar 26, 20243 then
Employees (5.A)6 as of Jul 1, 2026
Mar 26, 20245 then
Private funds4 as of Jul 1, 2026
Mar 26, 20242 then
RAUM +4.6% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
- RAUM per advisor
- $226MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $620,077derivedHNW RAUM over HNW clients
- Average account
- $35.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $668M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$668M99%
- High-net-worth individuals$8.1M1.2%
- Corporations and businesses$575,0000.1%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $668M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• M••••••• M••••••• | Dallas, Tx | Nov 21, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D••• B•••• B•••• from W•••• S••• C••••••• L•••Jan 6, 2023 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 9••• F•••• L• | Hedge Fund | $139M | 17 | Dec 8, 2022 |
| P•••••• M••••••••• P•••••••• L• | Hedge Fund | $11.2M | 2 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••• B•••• · Limited Partner And Chief Executive Officercontrolsince 05/2007 · owns 75% or more
- R•••••••• N•••• R••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- B••••• D•••• B•••• · Sole Membercontrolsince 05/2007 · owns 75% or more of 9••• M••••••••• L••
Entity owners
- 9••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• C•••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
- P•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $5.4M
Advisers that list 9••• C••••••• L• as a related person
- 114671 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 19Sep 3, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Sep 3, 2025 to Mar 31, 2026
- HNW clients · unset to 13.0Sep 3, 2025 to Mar 31, 2026
- Assets in custody · $635M to $668MSep 3, 2025 to Mar 31, 2026
- Employees · 5 to 6Sep 3, 2025 to Mar 31, 2026
- Financial planning clients · to 1-10Sep 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $648M to $677MSep 3, 2025 to Mar 31, 2026
- HNW RAUM · $3.1M to $8.1MSep 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $643M to $668MSep 3, 2025 to Mar 31, 2026
- RAUM · $648M to $677MSep 3, 2025 to Mar 31, 2026
- Accounts · 3 to 17Mar 26, 2024 to Mar 9, 2025
- Advisory employees · 3 to 4Mar 26, 2024 to Mar 9, 2025
- Advisory activities · 2 to 3Mar 26, 2024 to Mar 9, 2025
- Individual clients · 1.0 to unsetMar 26, 2024 to Mar 9, 2025
- Pooled vehicle clients · 2 to 5Mar 26, 2024 to Mar 9, 2025
- Assets in custody · $117M to $635MMar 26, 2024 to Mar 9, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 9, 2025
- Private funds · 2 to 4Mar 26, 2024 to Mar 9, 2025
- Discretionary RAUM · $118M to $648MMar 26, 2024 to Mar 9, 2025
- HNW RAUM · unset to 3144000.0Mar 26, 2024 to Mar 9, 2025
- Individual RAUM · 550000.0 to unsetMar 26, 2024 to Mar 9, 2025
- Pooled vehicle RAUM · $117M to $643MMar 26, 2024 to Mar 9, 2025
- RAUM · $118M to $648MMar 26, 2024 to Mar 9, 2025
- Accounts · 2 to 3Feb 13, 2024 to Mar 26, 2024
- Advisory employees · 2 to 3Feb 13, 2024 to Mar 26, 2024
- Advisory activities · 1 to 2Feb 13, 2024 to Mar 26, 2024
- Individual clients · unset to 1.0Feb 13, 2024 to Mar 26, 2024
- Assets in custody · unset to 117300000.0Feb 13, 2024 to Mar 26, 2024
- Custody of client assets · false to trueFeb 13, 2024 to Mar 26, 2024
- Employees · 4 to 5Feb 13, 2024 to Mar 26, 2024
- State-registered IARs · 0 to 3Feb 13, 2024 to Mar 26, 2024
- Discretionary RAUM · $101M to $118MFeb 13, 2024 to Mar 26, 2024
- Individual RAUM · unset to 550000.0Feb 13, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $101M to $117MFeb 13, 2024 to Mar 26, 2024
- RAUM · $101M to $118MFeb 13, 2024 to Mar 26, 2024
- Business name · W•••• S••• C••••••• L• to 9••• C••••••• L•May 18, 2023 to Feb 13, 2024
- Legal name · W•••• S••• C••••••• L• to 9••• C••••••• L•May 18, 2023 to Feb 13, 2024
- Accounts · 1 to 2Dec 8, 2022 to May 18, 2023
- Pooled vehicle clients · 1 to 2Dec 8, 2022 to May 18, 2023
- Assets in custody · 0.0 to unsetDec 8, 2022 to May 18, 2023
Signals
2 dated events
- 9••• C••••••• L• reported RAUM $647.5M, up 449% from $117.9M (2024-03-26 to 2025-03-09)Mar 9, 2025 · RAUM change · derived
- W•••• S••• C••••••• L• filed its initial SEC registration (Form ADV)Dec 8, 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
- Firm profile
- linkedin.com/company/9823capitalreportedpublic record, Form ADV, Sep 21, 2026
- Website
- 9•••.capitalreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 214-849-5800reportedpublic record, Form ADV, Jul 1, 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
- $226Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026