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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Former SEC-registered adviser

P••••••• I••••••••• I••••••••

Former SEC-registered adviserDallas, TexasCRD 329115SEC 801-131658websiteIAPD
Legal name P••••••• I••••••••• I•••••••• L••
Latest filing May 15, 2025
First filing on the tape Nov 19, 2024 · 3 filings
SEC status approved since Dec 20, 2024
RAUM
$190M
reported, Item 5.F
Discretionary
2.3%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$190M as of May 15, 2025
Feb 3, 2025$190M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 15, 2025
Feb 3, 20251 then
Employees (5.A)2 as of May 15, 2025
Feb 3, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 15, 2025; every figure names its basis
RAUM per advisor
$190MderivedRAUM 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
$37.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.3%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$190M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• R•••• A•••••••• · Managing Partner And Chief Investment Officercontrol
      since 10/2023 · owns 50% to 75%
    • M•••••••• Q••••••• L••• · President And Chief Compliance Officercontrol
      since 10/2023 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Dallas, Tx · principal0021
    Ross, Ca001
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · unset to
      Feb 3, 2025 to May 15, 2025
    • Financial planning clients · 0 to unset
      Nov 19, 2024 to Feb 3, 2025
    Signals
    6 dated events
    • P••••••• I••••••••• I•••••••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $189.5M)
      Jun 1, 2026 · Left the SEC roster · derived
    • R••• A•••••••• B••••• left P••••••• I••••••••• I•••••••• for P••••••• G••••• I•••••••• (registered 2026-01-01)
      Dec 31, 2025 · Advisor changed firm · fact
    • R••• Q•••• left P••••••• I••••••••• I•••••••• for P••••••• G••••• I•••••••• (registered 2026-01-01)
      Dec 31, 2025 · Advisor changed firm · fact
    • 2 advisors left P••••••• I••••••••• I•••••••• (Dallas, TX) for P••••••• G••••• I•••••••• on the same day
      Dec 31, 2025 · Team lift-out · derived
    • M••••• D•••••• left P••••••• I••••••••• I•••••••• for I• F•••••••• A••••••• S••••••• L•• (registered 2025-12-04)
      Nov 10, 2025 · Advisor changed firm · fact
    • P••••••• I••••••••• I•••••••• filed its initial SEC registration (Form ADV)
      Nov 19, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026