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CRD 111359
MANDEVILLE, LA
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| E•••••• G••••••••• F••••••• | n/a | MANDEVILLE, LA | 2 | 17 | 1 | no |
| E•••• C•••• B••••• | n/a | MANDEVILLE, LA | 2 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• R•••••• J••• | VICE PRESIDENT & DIRECTOR | Na | yes | 11/1991 | Apr 9, 2012 | Feb 22, 2024 |
| A••••• F•••••••• G••••• I••• | Owner | E | yes | 01/2024 | Jan 31, 2024 | Feb 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 |
|---|---|---|---|---|
| Metairie | La | United States | 2 | no |
| Nashville | Tn | 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 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.1B | $1.6B | 34.7% | $1.3B | 17.0% | 12 | 11 | 6 | 2 |
| no |
| C••••• D•••• B••••••••• | n/a | Dallas, TX | Metairie, LA | MANDEVILLE, LA | 1 | 12 | n/a | no |
| M•••••• B•••• K•••••••• | n/a | MANDEVILLE, LA | Shreveport, LA | 1 | 14 | 1 | no |
| R••••• D•••• S•••••• | Chartered Financial Analyst | MANDEVILLE, LA | Oklahoma City, OK | 0 | 29 | n/a | no |
| C••••• R•••••• S•••• | n/a | MANDEVILLE, LA | 0 | 10 | n/a | no |
| C•••••• A•••••••• K••• | Chartered Financial Analyst | SAN ANTONIO, TX | MANDEVILLE, LA | 0 | 28 | n/a | no |
| J••••• P••• Z••••• | Chartered Financial Analyst | MANDEVILLE, LA | FORT WORTH, TX | 0 | 11 | n/a | no |
| PRESIDENT AND DIRECTOR |
| Na |
| yes |
| 09/2004 |
| Apr 9, 2012 |
| Feb 22, 2024 |
| E••••••• N•••• W••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2023 | Feb 2, 2024 | Feb 22, 2024 |
| J••••••• C••••••••• M•••• | EXECUTIVE VICE PRESIDENT AND DIRECTOR | Na | yes | 01/2023 | Jan 31, 2024 | Feb 22, 2024 |
| A••••• R••••••••• P••• A•••••••• L•• | n/a | I•••••••••_MANAGER | $683M | N | yes | n/a |
| 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•••• C•••••• | 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 |
| S•••• T•••• C•••••• A• D••••••• O• A••••• I••••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| Mar 24, 2026 |
| $2.1B |
| $2.1B |
| 12 |
| 6 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $1.6B | $1.6B | 11 | 7 | 2 | n/a | n/a |
| 2023 | Feb 15, 2024 | $1.6B | $1.6B | 10 | 6 | 2 | n/a | n/a |
| 2022 | Mar 24, 2023 | $1.3B | $1.3B | 10 | 5 | 3 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.6B | $1.6B | 10 | 6 | 2 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.6B | $1.6B | 10 | 6 | 2 | n/a | n/a |
| 2019 | Mar 31, 2020 | $1.6B | $1.6B | 11 | 7 | 2 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.4B | $1.4B | 11 | 7 | 3 | n/a | n/a |
| 2017 | Feb 9, 2018 | $1.5B | $1.5B | 12 | 7 | 3 | n/a | n/a |
| 2016 | Mar 30, 2017 | $1.5B | $1.5B | 12 | 7 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $1.2B | $1.2B | 12 | 7 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.4B | $1.4B | 14 | 7 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.3B | $1.3B | 14 | 5 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $1.2B | $1.2B | 12 | 6 | n/a | n/a | n/a |
| 2011 | Apr 9, 2012 | $1.8B | $1.8B | n/a | n/a | n/a | n/a | n/a |