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CRD 165031
NEW O••••••, LA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C••••••••• W•••• S•••••• | n/a | NEW O••••••, LA | SHREVEPORT, LA | 10 | 11 | n/a | no |
| M••• M••••• | n/a | New Orleans, LA | NEW O••••••, LA | 8 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• F•••••••• G••••• I••• | Member | E | yes | 12/2015 | Mar 30, 2016 | Mar 22, 2024 |
| B••••• C•••••• A•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2017 | Jan 26, 2017 | Mar 22, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H••••••• C•••••• M••••••••• L•• | n/a | Mixed wealth | $3.9B | N | yes | n/a |
| A••••• A•••••••• I••• | n/a | Independent wealth | $1.7B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| OKLAHOMA CITY | Ok | United States | 3 | no |
| Shreveport | La | United States | 1 | no |
| SAN ANTONIO | TX | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $683M | $652M | 4.8% | $394M | 20.2% | 7 | 5 | 4 | 3 |
| no |
| T••••• M•••••• F•••••• | n/a | OKLAHOMA CITY, OK | NEW O••••••, LA | 5 | 17 | n/a | no |
| T••• A•••• B••••• | n/a | NEW O••••••, LA | 1 | 19 | n/a | no |
| W•••••• S•••• B•••••• | n/a | TULSA, OK | OKLAHOMA CITY, OK | NEW O••••••, LA | 1 | 11 | 2 | no |
| President |
| Na |
| yes |
| 08/2018 |
| Nov 15, 2018 |
| Mar 22, 2024 |
| A••••• W•••••• L•• | n/a | Independent wealth | $487M | N | yes | n/a |
| A••••••••• I••••••••• A••••••• I•• | n/a | Former SEC adviser | $64.3M | N | yes | n/a |
| W••••• C•••••• M••••••••• L•• | n/a | Former SEC adviser | $27.0M | N | yes | n/a |
| A••••• I••••••••• T•••• | n/a | n/a | n/a | N | yes | n/a |
| A••••• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| A••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| Mar 23, 2026 |
| $683M |
| $0 |
| 7 |
| 5 |
| 4 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $652M | $0 | 5 | 3 | 3 | n/a | n/a |
| 2023 | Mar 22, 2024 | $948M | $0 | 5 | 4 | 3 | n/a | n/a |
| 2022 | Feb 16, 2023 | $394M | $0 | 5 | 4 | 4 | n/a | n/a |
| 2021 | Mar 10, 2022 | $656M | $0 | 6 | 5 | 6 | n/a | n/a |
| 2020 | Mar 24, 2021 | $291M | $0 | 7 | 5 | 5 | n/a | n/a |
| 2019 | Mar 24, 2020 | $261M | $0 | 8 | 6 | 5 | n/a | n/a |
| 2018 | Mar 28, 2019 | $18.8M | $0 | 8 | 6 | 5 | n/a | n/a |
| 2017 | Mar 26, 2018 | $84.1M | $84.1M | 11 | 8 | 5 | n/a | n/a |
| 2016 | Mar 28, 2017 | $202M | $191M | 8 | 4 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $8.7M | $0 | 3 | 2 | n/a | n/a | n/a |
| 2014 | Apr 1, 2015 | $9.5M | $0 | 2 | 1 | n/a | n/a | n/a |
| 2013 | Mar 11, 2014 | $8.4M | $0 | 1 | 1 | n/a | n/a | n/a |