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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SEC-registered adviser
C•• S•• A•••••••
Legal name C•• S•• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 13, 2024 · 4 filings
SEC status approved since Jan 13, 2025
RAUM
$341M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
13%
$45.8M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$341M as of Mar 30, 2026
Mar 31, 2025$268M then
HNW client RAUM$44.6M as of Mar 30, 2026
Mar 31, 2025$22.7M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 31, 20250 then
Employees (5.A)5 as of Mar 30, 2026
Mar 31, 20254 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 0 to 3offices 0 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $85.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $543,351derivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +197%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$279M85%
- High-net-worth individuals$44.6M14%
- Charitable organizations$1.3M0.4%
- Individuals$1.2M0.4%
- Corporations and businesses$706,2060.2%
- Individual clients
- 7reported
- HNW clients
- 82reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 128reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.13 fund_share=0.82 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• C•••• J•••••••• | Houston, Tx | Jun 15, 2023 | 13 y | 0 |
| J•••••• A•••• J•••••••• | Houston, Tx | Jun 16, 2023 | 14 y | 0 |
| R••••• H•••••••• G•••••• | Houston, Tx | Jun 16, 2023 | 16 y | 0 |
| T••• M•••••• R•••••• | Houston, Tx | Mar 10, 2025 | 15 y | 1 |
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
- T••• M•••••• R•••••• from D••••••••• F••• A••••••• L•Mar 10, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• R•••••• H•••••••• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- J••••••••• C••••••••• C•••• · Chief Executive Officer, Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- J••••••••• J••••••• A•••• · Chief Investment Officer And Portfolio Managercontrolsince 01/2023 · owns less than 5%
Entity owners
- C•• S•• L•• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 75 to 128Oct 20, 2025 to Mar 30, 2026
- Corporate clients · 1 to 3Oct 20, 2025 to Mar 30, 2026
- HNW clients · 27 to 82Oct 20, 2025 to Mar 30, 2026
- Individual clients · 3 to 7Oct 20, 2025 to Mar 30, 2026
- Employees · 4 to 5Oct 20, 2025 to Mar 30, 2026
- Financial planning clients · 0 to Oct 20, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 3Oct 20, 2025 to Mar 30, 2026
- Other offices · 0 to 2Oct 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $21.2M to $44.8MOct 20, 2025 to Mar 30, 2026
- HNW RAUM · $22.7M to $44.6MOct 20, 2025 to Mar 30, 2026
- Individual RAUM · $409,595 to $1.2MOct 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $247M to $296MOct 20, 2025 to Mar 30, 2026
- RAUM · $268M to $341MOct 20, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 20, 2025
- Accounts · 66 to 75Dec 13, 2024 to Mar 31, 2025
- Employees · 3 to 4Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $20.6M to $21.2MDec 13, 2024 to Mar 31, 2025
- HNW RAUM · $22.7M to $22.7MDec 13, 2024 to Mar 31, 2025
- Individual RAUM · $409,630 to $409,595Dec 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $259M to $247MDec 13, 2024 to Mar 31, 2025
- RAUM · $279M to $268MDec 13, 2024 to Mar 31, 2025
- Wrap assets (manager) · unset to 0.0Dec 13, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · unset to 0.0Dec 13, 2024 to Mar 31, 2025
Signals
1 dated events
- C•• S•• A••••••• filed its initial SEC registration (Form ADV)Dec 13, 2024 · 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/cap-sixreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-671-7982reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $85.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026