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CRD 19299
DALLAS, 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 |
|---|---|---|---|---|---|---|
| E••••••• R••••• A•••••• | CHAIRMAN/SHAREHOLDER/CHIEF COMPLIANCE OFFICER | C | yes | 07/1990 | Mar 30, 2012 | Mar 12, 2014 |
| H•••••••• N•• J• | VICE CHAIRMAN/PRESIDENT & CEO/SHAREHOLDER | D | yes | 05/2006 | Mar 30, 2012 | Mar 12, 2014 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 12, 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $508M | $1.1B | -53.4% | n/a | n/a | 28 | 45 | n/a | n/a |
| G•••••••• D••••• J••• |
| MANAGING DIRECTOR/ BOARD DIRECTOR/ SHAREHOLDER |
| B |
| no |
| 05/2006 |
| Mar 30, 2012 |
| Mar 12, 2014 |
| M••••••• R•••• | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | Na | no | 05/2006 | Mar 30, 2012 | Mar 12, 2014 |
| $508M |
| $0 |
| 28 |
| 5 |
| n/a |
| n/a |
| n/a |
| 2012 | Mar 18, 2013 | $1.1B | $0 | 45 | 6 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $933M | $0 | n/a | n/a | n/a | n/a | n/a |