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S••••••• P••••••••• P••••••• M••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

S••••••• P••••••••• P••••••• M••••••• L••

CRD 156935

HOUSTON, TX

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Search this name across graphsid dfx:ria:22e43bd8-6d07-bf6f-64df-f96d5b874a94

Data as of Apr 7, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 12
On other graphs: 0
Observed: Feb 14, 2012 to Apr 7, 2020
24 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: $1.5BItem 5.F on the latest filing (2020-04-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
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: 0
Employees

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
H•••••• M••••••• R••••••	VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY	Na	yes	04/2020	Apr 7, 2020	Apr 7, 2020
J••••• C••••••	Director	Na	yes	05/2007	Feb 14, 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
S••••••• P••••••••• P••••••• I••• L••	n/a	n/a	n/a	Y	no	n/a
S•• I•••• G•• L••	n/a	n/a	n/a	Y	no	n/a
S•• I•••• G•• L••

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

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
2019	$1.5B	$4.0B	-62.6%	$5.8B	-36.6%	60	70	0	0

Relationships

Controls (10)

← J••••• C••••••OwnerDIRECTOR, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← S••••• J•••• N••••••••OwnerDIRECTOR, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← S••••••• L•••• A•••OwnerMEMBER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV
← Y•••••••• J•••• A••••••OwnerDIRECTOR, ownership code NA, individual
Feb 14, 2012 to presentfact

Dated events

Occurred
Apr 7, 2020
Control person left
Smith Cheryl Phillips (Vice President, General Counsel, Chief Compliance Officer And Secretary) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2020-03-30, absent 2020-04-07)
Form ADVobserved 7 days ago
Occurred
Apr 7, 2020
Control person left
Edward Thomas Voytovich (Vice President And Chief Operating Officer And Director) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2020-03-30, absent 2020-04-07)
Form ADVobserved 7 days ago
Occurred
Apr 7, 2020
Control person joined
Randall Matthew Heintz (Vice President, General Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of S••••••• P••••••••• P••••••• M••••••• L••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22e43bd8-6d07-bf6f-64df-f96d5b874a94
First observed: Feb 14, 2012
Last observed: Apr 7, 2020 78 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.