DFX Intelligence
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Reading the graph
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S•••••• P•••••• C•••••, LLC, CRD 288687
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| T••• I•• C••••••••• F•••• L••• | Other Private Fund | $22.6M | Apr 1, 2020 | 94 | Nov 20, 2014 | reported | 021-218986 |
| S•••••• T•• E••••• C••••• F•••• L••• | Other Private Fund | $17.8M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• D••••••• J••••• | CHIEF TECHNOLOGY OFFICER | Na | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| C•••••••• B••••• A•••••• | NATIONAL DIRECTOR OF FIELD SUPERVISION | Na | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | n/a | Bd affiliated wealth | $199B | Y | yes | n/a |
| K•••••• C•••••• M••••••••• L•• | n/a | Independent wealth | $1.8B | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Apr 1, 2020 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $190M | $190M | 0.0% | n/a | n/a | 3 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | 16 | Dec 31, 2018 | Sep 3, 2019 | HOUSTON, TX | Firm absorbed | RIA to ibd | 100.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• A•••••••• L••• | 2 | Nov 18, 2022 | Aug 11, 2017 | DALLAS, TX | Team lift out | Other | 50.0% |
| S•••••• C•••••• A•••••••• L•• | 16 | Oct 10, 2017 | Aug 15, 2017 |
| 41 |
| Jul 29, 2015 |
| reported |
| 021-245812 |
| S•••••• D••••••••• R••• E••••• F•••• L••• | Other Private Fund | $6.6M | Apr 1, 2020 | 48 | Nov 20, 2014 | reported | 021-220029 |
| E••••••• T•••• P••••••• I• L••• | Other Private Fund | $5.4M | Feb 1, 2018 | 17 | Feb 13, 2014 | dropped | 021-189084 |
| T•••• M•••••••• • R••••••• P•••••••• L••• | Other Private Fund | $3.8M | Apr 1, 2020 | 12 | Feb 13, 2014 | reported | n/a |
| T•••• N•••••• R••••••• F••• I•• L••• | Other Private Fund | $3.1M | Apr 1, 2020 | 9 | Feb 13, 2014 | reported | n/a |
| T•••• R•••••• P••••••• I•• L••• | Other Private Fund | $2.6M | Apr 1, 2020 | 12 | Feb 13, 2014 | reported | n/a |
| T•••• C••••••• P•••••••• L••• | Other Private Fund | $2.3M | Apr 1, 2020 | 10 | Feb 13, 2014 | reported | n/a |
| T••• I•• C••••••••• L••• | Other Private Fund | $2.0M | Apr 1, 2020 | 13 | Feb 13, 2014 | reported | n/a |
| T•••• B••••• P•••••••• L••• | Other Private Fund | $1.6M | Apr 1, 2020 | 10 | Feb 13, 2014 | reported | n/a |
| T••• I• A••••••• E••••• C••••••••• L••• | Other Private Fund | $1.4M | Apr 1, 2020 | 30 | Feb 13, 2014 | reported | n/a |
| S•••••• 2••• M•••• S••••••• F••• S••••• A• | Other Private Fund | $1.2M | Apr 1, 2020 | 7 | Nov 11, 2016 | reported | 021-268367 |
| S•••••• 2••• M•••• S••••••• F••• S••••• C• | Other Private Fund | $889,834 | Apr 1, 2020 | 8 | Feb 1, 2017 | reported | 021-273593 |
| T•••• R•••••• P•••••••• L••• | Other Private Fund | $831,840 | Apr 1, 2020 | 7 | Feb 13, 2014 | reported | n/a |
| T•••• H••••• P•••••••• L••• | Other Private Fund | $537,686 | Apr 1, 2020 | 5 | Feb 13, 2014 | reported | n/a |
| T••• I•• E•••••• C••••••••• L••• | Other Private Fund | $312,291 | Apr 1, 2020 | 12 | Feb 13, 2014 | reported | n/a |
| T••• I•• E•••••• 2••• C••••••••• L••• | Other Private Fund | $140,262 | Apr 1, 2020 | 12 | Mar 25, 2015 | reported | n/a |
| T•••• N•••••• R••••••• F••• I•• L••• | Other Private Fund | $11,116 | Feb 1, 2018 | 3 | Feb 13, 2014 | dropped | n/a |
| CHIEF OPERATING OFFICER - TRUST AND ADVISORY |
| Na |
| yes |
| 05/2017 |
| May 31, 2017 |
| Apr 1, 2020 |
| H•••••••• H•••••• L•• | HOLDING COMPANY | E | yes | 09/2018 | Sep 11, 2018 | Apr 1, 2020 |
| M•••••• L••••• D•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| M••••• N•••••• | EXECUTIVE DIRECTOR OPERATIONS AND SERVICES | Na | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| S••••••• W••••• H•••••••• L•• | HOLDING COMPANY | E | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| T•• E••••• F••• V•• I•••••••• •••• L•• | 50% OWNER OF APPLICANT'S HOLDING COMPANY | D | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| W••••••••• E•••••• S•• | CEO AND CHAIRMAN OF BOARD OF HT HOLDING LLC | F | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| W••••• T••••••• B•••••• | GENERAL COUNSEL | Na | yes | 08/2018 | Sep 11, 2018 | Apr 1, 2020 |
| F•••••••• L•• | n/a | Former SEC adviser | $1.7B | N | yes | n/a |
| D•••• A•••• M••••••••• L•• | n/a | Independent wealth | $1.5B | N | yes | n/a |
| H••••• I••••••••• C••••••• L•• | n/a | Independent wealth | $1.0B | N | yes | n/a |
| W••••••••• A••••• L•• | n/a | Independent wealth | $900M | N | yes | n/a |
| D••••••• S•••••• • C••• L•• | n/a | Independent wealth | $707M | N | yes | n/a |
| T•• R••••• G••••• L•• | n/a | Former SEC adviser | $72.2M | N | yes | n/a |
| H•••••••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• I•••••••• A•••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• T•••• P•••••• E••••• G•• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• T•••• C••• L•• | n/a | n/a | n/a | N | yes | n/a |
| W••••••••• A•••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $190M |
| $190M |
| 3 |
| 1 |
| 0 |
| 29 |
| $276M |
| 2018 | Mar 21, 2019 | $190M | $190M | 3 | 1 | 0 | 29 | $276M |
| 2017 | Mar 21, 2018 | $2.1B | $2.1B | 97 | 35 | 0 | 29 | $276M |
| HOUSTON, TX |
| Team lift out |
| Other |
| 48.5% |