DFX Intelligence

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O•• I••••••••• A••••••• L•

No RAUM reportedSEC-registered1 private funds· Austin, Texaswebsite

No RAUM reported, based in Austin, Texas.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-08-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 1
Net advisor flow, 12 months: +1

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
O•• A••••••• L•• appeared on Schedule A as an owner on 24 Aug 2026.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →

Every filed figure, and the identifiersCRD 338375 · SEC 801-134553 · 4 filingsShow

CRD 338375SEC 801-134553First filing on the tape Sep 17, 2025, latest Aug 24, 2026SEC status 120-day approval since Nov 17, 2025IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 17, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Aug 24, 2026

Sep 17, 2025$0 then

HNW client RAUM$0 as of Aug 24, 2026

Sep 17, 2025$0 then

State-registered IARs (5.B.3)0 as of Aug 24, 2026

Sep 17, 20250 then

Employees (5.A)2 as of Aug 24, 2026

Sep 17, 20252 then

Private funds1 as of Aug 24, 2026

Mar 27, 20261 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Aug 24, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 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)
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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

B•••• E••••• S•••••• from S•••••• F••••••••• L••
Apr 28, 2026 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B•••• E••••• S••••••Chartered Financial Analyst	Austin, Tx	Apr 28, 2026	21 y	3

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
O•• E•••• C•••••• M••••• F••• L•	Hedge Fund	$0	0	Aug 24, 2026

Owners and control persons

Schedule A and B, latest filing

H•••••• T•••••• B•••••• · Chief Executive Officer And Chief Investment Officercontrol
since 07/2025 · owns 75% or more

Entity owners

O•• A••••••• L•• · General Partner
direct · owns less than 5%

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

Assets in custody · unset to 0.0
Sep 17, 2025 to Mar 27, 2026
Custody of client assets · false to true
Sep 17, 2025 to Mar 27, 2026
Private funds · unset to 1
Sep 17, 2025 to Mar 27, 2026

Signals

2 dated events

••• Locked
Aug 24, 2026 · private fund first reported · fact
••• Locked
Sep 17, 2025 · First SEC registration · derived

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, Aug 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 24, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda 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: regulatory AUM, RAUM change, 1 year, private clients.