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CRD 30184
SAN ANTONIO, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••••• F••••••••• I••• | 100% OWNER OF PARENT COMPANY | E | yes | 07/2017 | Jul 3, 2017 | Sep 28, 2018 |
| A••• H•••••• C••••••••• | Shareholder | E | yes | 07/2017 | Jul 3, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• I••• | n/a | National bd RIA | $660B | N | yes | n/a |
| C••••••• M••••••••• I••••••••• A•••••••• L•• | n/a | Asset manager | $502B | N | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $761M | $856M | -11.1% | $359M | 28.5% | 178 | 222 | 172 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• I••••••••• I••• | 2 | Sep 13, 2018 | Sep 11, 2018 | DOWNERS GROVE, IL | Team lift out | Ibd to ibd | 2.2% |
| L•• F•••••••• L•• | 3 | Aug 3, 2018 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Nov 23, 2015 | Nov 23, 2015 | WENATCHEE, WA | Team lift out | Other | 0.1% |
| M•••••••• C•••••• N••• | Director | Na | yes | 11/2017 | Mar 31, 2018 | Sep 28, 2018 |
| M•••••••• J•• L•••• | PRES/CEO | Na | yes | 08/2010 | Mar 16, 2012 | Sep 28, 2018 |
| O••••••••• P•••••• H••• | Director | Na | yes | 11/2017 | Mar 31, 2018 | Sep 28, 2018 |
| D••••••• R•••••• R•••• | REGISTERED OPTIONS PRINCIPAL | Na | no | 03/2016 | Mar 16, 2012 | Sep 28, 2018 |
| S•••••• M••• E•••• | CO-CCO | Na | no | 01/2018 | Apr 2, 2015 | Sep 28, 2018 |
| S••••••• B•••• K•••• | CCO AND COO | Na | no | 04/2016 | Apr 25, 2016 | Sep 28, 2018 |
| n/a |
| C••••••• W••••• A•••• M••••••••• L•• | n/a | Former SEC adviser | $5.8B | N | yes | n/a |
| T••••••••• I••••••••• L••• | n/a | Former SEC adviser | $358M | N | yes | n/a |
| A••••••• C•••••• S••••••••• G••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••• E••••••••• I••••••••• S••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••••• A••• • H••• I•••••••• A•••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••••• C•••••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••••• N••••••• T•••• B••• | n/a | n/a | n/a | N | yes | n/a |
| A••••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| C••••••• M••••••••• I••••••••• D••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| C••••••• T••••••••• I••••••••• ••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| I•• P••••••• C••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| R••••••••• D••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| R••••••••• L••• I•••••••• C•• O• N•• Y••• | n/a | n/a | n/a | N | yes | n/a |
| R••••••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| S••••••• P••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• A•••• M••••••••• M••••••• S••• B••• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• A••••• M••••••••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• I••••••••• I••••••••• G••• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• I••••••••• S•••••••• •••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• M••••••••• L••••••••• S••• | n/a | n/a | n/a | N | yes | n/a |
| T••••••••• P•••••••• S••••••• H••• K••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| Mar 31, 2018 |
| $761M |
| $0 |
| 178 |
| 178 |
| 172 |
| n/a |
| n/a |
| 2016 | Mar 30, 2017 | $856M | $234M | 222 | 222 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $634M | $278M | 242 | 242 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $359M | $0 | 265 | 228 | n/a | n/a | n/a |
| 2013 | Mar 18, 2014 | $517M | $0 | 265 | 228 | n/a | n/a | n/a |
| 2012 | May 8, 2013 | $249M | $0 | 255 | 226 | n/a | n/a | n/a |
| 2011 | Mar 16, 2012 | $249M | $0 | n/a | n/a | n/a | n/a | n/a |
| Aug 3, 2020 |
| SAN ANTONIO, TX |
| Team lift out |
| Ibd to RIA |
| 2.6% |
| L•• F•••••••• L•• | 2 | Aug 2, 2018 | Jul 30, 2018 | DANVILLE, KY | Team lift out | Ibd to RIA | 1.7% |
| L•• F•••••••• L•• | 2 | Jul 10, 2018 | Jul 6, 2018 | DOWNERS GROVE, IL | Team lift out | Ibd to RIA | 1.6% |
| L•• F•••••••• L•• | 2 | Nov 3, 2017 | Nov 3, 2017 | RESTON, VA | Team lift out | Other | 1.5% |
| T••••••• A•••• M••••••••• L•• | 3 | Jul 25, 2017 | Apr 17, 2023 | WEBSTER, TX | Team lift out | Other | 2.1% |
| S••• V•••• P•••••••• L••• | 4 | Jul 3, 2017 | Jul 5, 2017 | ENGLEWOOD, CO | Team lift out | Other | 2.7% |
| S••• V•••• P•••••••• L••• | 2 | Jul 3, 2017 | Jul 3, 2017 | SAN ANTONIO, TX | Team lift out | Other | 1.4% |