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
1••• P•••••••
Legal name 1••• P•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 1, 2023 · 10 filings
SEC status approved since Aug 31, 2023
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$207M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$207M as of Mar 24, 2026
Mar 28, 2024$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 28, 20241 then
Employees (5.A)4 as of Mar 24, 2026
Mar 28, 20243 then
Private funds4 as of Mar 24, 2026
Mar 28, 20246 then
RAUM -0.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $207MderivedRAUM 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
- $51.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $207M, 4 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)
- 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$207M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 4 clientsreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B••••• | San Antonio, Tx | May 19, 2026 | 14 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
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• P••••••• F••• I• L• | Private Equity Fund | $110M | 37 | Sep 15, 2022 |
| 1••• E• P••••••• F•••• L• | Private Equity Fund | $32.8M | 21 | Aug 1, 2023 |
| 1••• H•• E• L••• | Private Equity Fund | $6.6M | 23 | Aug 1, 2023 |
| 1••• A•• M• L•• | Private Equity Fund | $4.0M | 17 | Aug 1, 2023 |
| 1••• A•• E• L•• | Private Equity Fund | $1.6M | 14 | Aug 1, 2023 |
| 1••• H•• M• L••• | Private Equity Fund | $1.6M | 7 | Aug 1, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• H••••• · Membercontrolsince 01/2021 · owns 25% to 50%
- H•••••• A•••••• D•••• · Membercontrolsince 01/2022 · owns 10% to 25%
- M•••••••• J•••••• M•••••••• · Chief Compliance Officer/Membercontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- S•••••• L••investment adviserpooled vehicle sponsornRAUM $2.3B
Advisers that list 1••• P••••••• as a related person
- 150593 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 4Sep 19, 2025 to Mar 24, 2026
- Advisory employees · 3 to 4Sep 19, 2025 to Mar 24, 2026
- Pooled vehicle clients · 6 to 4Sep 19, 2025 to Mar 24, 2026
- Assets in custody · $207M to $207MSep 19, 2025 to Mar 24, 2026
- Employees · 3 to 4Sep 19, 2025 to Mar 24, 2026
- Private funds · 6 to 4Sep 19, 2025 to Mar 24, 2026
- Discretionary RAUM · $207M to $207MSep 19, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $207M to $207MSep 19, 2025 to Mar 24, 2026
- RAUM · $207M to $207MSep 19, 2025 to Mar 24, 2026
- Assets in custody · $156M to $207MJun 29, 2024 to Apr 30, 2025
- Financial planning clients · unset to Jun 29, 2024 to Apr 30, 2025
- State-registered IARs · 1 to 0Jun 29, 2024 to Apr 30, 2025
- Discretionary RAUM · $156M to $207MJun 29, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $156M to $207MJun 29, 2024 to Apr 30, 2025
- RAUM · $156M to $207MJun 29, 2024 to Apr 30, 2025
- Assets in custody · $5.0M to $156MNov 30, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 1Nov 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $171M to $156MNov 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $171M to $156MNov 30, 2023 to Mar 28, 2024
- RAUM · $171M to $156MNov 30, 2023 to Mar 28, 2024
- Other offices · 0 to 1Sep 5, 2023 to Nov 30, 2023
Signals
1 dated events
- 1••• P••••••• filed its initial SEC registration (Form ADV)Aug 1, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1••• P••••••• · Independent Sponsorsshared crd · capital_provider
- 1••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 1•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 901-820-0515reportedpublic record, Form ADV, Mar 24, 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
- $207Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026