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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

TEXAS FIRST INVESTMENT MANAGEMENT COMPANY

TEXAS FIRST INVESTMENT MANAGEMENT COMPANY, LP, CRD 132907

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d9c9ac9-cedb-9c5e-a638-5a5eca83cbe8

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $25.2MItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $25.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 22
SEC number: 801-72625
CRD: 132907
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed: Mar 30, 2012
Organised: Other (specify), Texas

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DOUGLAS ROBERT CANNON	Chartered Financial Analyst	HOUSTON, TX	18	32	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CANNON, DOUGLAS, ROBERT	PRESIDENT/CHIEF COMPLIANCE OFFICER, LIMITED PARTNER	D	yes	01/2004	Mar 30, 2012	Mar 30, 2012
CANNON, DOUGLAS, ROBERT	Manager	E	yes	07/2008	Mar 30, 2012	Mar 30, 2012
FINKELMAN, STEVEN, JOSEPH	Manager	F	yes	07/2008	Mar 30, 2012	Mar 30, 2012
HICKEY, JAMES, TIMOTHY	GENERAL PARTNER	C	yes	01/2007	Mar 30, 2012	Mar 30, 2012
HICKEY, JAMES, TIMOTHY	Manager	C	yes	07/2008	Mar 30, 2012	Mar 30, 2012
OSBORNE, JONATHAN, MALLINCKRODT	GENERAL PARTNER	C	yes	01/2007	Mar 30, 2012	Mar 30, 2012
RENEGADE CAPITAL LP	LIMITED PARTNER	B	yes	07/2008	Mar 30, 2012	Mar 30, 2012
SIEGEL, GABRIEL, MILES	GENERAL PARTNER	C	yes	01/2007	Mar 30, 2012	Mar 30, 2012
CANNON, LOLA, MAE	LIMITED PARTNER	A	no	09/2009	Mar 30, 2012	Mar 30, 2012
FINKELMAN, STEVEN, JOSEPH	LIMITED PARTNER	A	no	03/2005	Mar 30, 2012	Mar 30, 2012
TEXAS FIRST FUND HOLDINGS, LLC	GENERAL PARTNER	Na	no	01/2004	Mar 30, 2012	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RIVERROCK ASSET MANAGMENT LLC	n/a	No RAUM reported	$0	N	no	n/a
RIVERROCK SECURITIES, LLC	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$25.2M	$23.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$25.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ RIVERROCK ASSET MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV

Controls (6)

← HICKEY, JAMES, TIMOTHYOwnerGENERAL PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← FINKELMAN, STEVEN, JOSEPHOwnerMANAGER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← SIEGEL, GABRIEL, MILESOwnerGENERAL PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← OSBORNE, JONATHAN, MALLINCKRODTOwnerGENERAL PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← CANNON, DOUGLAS, ROBERTOwnerMANAGER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← RENEGADE CAPITAL LPOwnerLIMITED PARTNER, ownership code B, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (3)

← FINKELMAN, STEVEN, JOSEPHOwnerLIMITED PARTNER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← CANNON, LOLA, MAEOwnerLIMITED PARTNER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← TEXAS FIRST FUND HOLDINGS, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (1)

← DOUGLAS ROBERT CANNONAdvisorregistration: previous registration
Jun 20, 2005 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d9c9ac9-cedb-9c5e-a638-5a5eca83cbe8
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TEXAS FIRST INVESTMENT MANAGEMENT COMPANY

TEXAS FIRST INVESTMENT MANAGEMENT COMPANY, LP, CRD 132907

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d9c9ac9-cedb-9c5e-a638-5a5eca83cbe8

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DOUGLAS ROBERT CANNON

Chartered Financial Analyst

HOUSTON, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CANNON, DOUGLAS, ROBERT

PRESIDENT/CHIEF COMPLIANCE OFFICER, LIMITED PARTNER

yes

01/2004

Mar 30, 2012

CANNON, DOUGLAS, ROBERT

Manager

yes

07/2008

Mar 30, 2012

FINKELMAN, STEVEN, JOSEPH

Manager

yes

07/2008

Mar 30, 2012

HICKEY, JAMES, TIMOTHY

GENERAL PARTNER

yes

01/2007

Mar 30, 2012

HICKEY, JAMES, TIMOTHY

Manager

yes

07/2008

Mar 30, 2012

OSBORNE, JONATHAN, MALLINCKRODT

GENERAL PARTNER

yes

01/2007

Mar 30, 2012

RENEGADE CAPITAL LP

LIMITED PARTNER

yes

07/2008

Mar 30, 2012

SIEGEL, GABRIEL, MILES

GENERAL PARTNER

yes

01/2007

Mar 30, 2012

CANNON, LOLA, MAE

LIMITED PARTNER

09/2009

Mar 30, 2012

FINKELMAN, STEVEN, JOSEPH

LIMITED PARTNER

03/2005

Mar 30, 2012

TEXAS FIRST FUND HOLDINGS, LLC

GENERAL PARTNER

01/2004

Mar 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RIVERROCK ASSET MANAGMENT LLC

n/a

No RAUM reported

n/a

RIVERROCK SECURITIES, LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$25.2M

$23.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$25.2M

n/a