DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Y••• A••••••••, LTD., LLP, CRD 138612
HOUSTON, TX
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 |
|---|---|---|---|---|---|---|
| K••• L•••• B•• | Certified Financial Planner | HOUSTON, TX | 20 | 24 | 1 | no |
| C•••••• E••••• C••••••• | Certified Financial Planner|Chartered Financial Consultant | HOUSTON, TX | 14 | 29 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| S•••• H••••••• L• | Private Equity Fund | $1.3M | Mar 25, 2022 | 39 | Mar 27, 2015 | dropped | 021-1549754 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• A••• R•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2017 | Mar 29, 2018 | Mar 26, 2024 |
| B••• K•••• L•••• | Principal | C | yes | 03/2016 | Mar 29, 2012 | Mar 26, 2024 |
| 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 | $448M | $375M | 19.7% | $334M | 10.3% | 6 | 6 | 0 | 0 |
| no |
| S••••• C•••••• B•••• | n/a | Houston, TX | 3 | 27 | 1 | no |
| C••••• J•••• C••••••• | n/a | HOUSTON, TX | 1 | 11 | 1 | no |
| Principal |
| C |
| yes |
| 10/2005 |
| Mar 29, 2012 |
| Mar 26, 2024 |
| C•••••••• C••••••• E••••• | Principal | C | yes | 03/2016 | May 14, 2012 | Mar 26, 2024 |
| C•••••••• C••••••• E••••• | Principal | C | yes | 05/2012 | May 14, 2012 | Mar 26, 2024 |
| Y••• A•••••••• M••••••••• I••• | GENERAL PARTNER | Na | yes | 10/2005 | Mar 29, 2018 | Mar 26, 2024 |
| Mar 23, 2026 |
| $448M |
| $448M |
| 6 |
| 3 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 4, 2025 | $375M | $375M | 6 | 3 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $362M | $362M | 6 | 3 | 0 | n/a | n/a |
| 2022 | Mar 16, 2023 | $334M | $334M | 8 | 4 | 0 | n/a | n/a |
| 2021 | Mar 25, 2022 | $346M | $346M | 8 | 4 | 0 | 1 | $1.3M |
| 2020 | Mar 29, 2021 | $302M | $302M | 7 | 4 | 0 | 1 | $1.5M |
| 2019 | Mar 19, 2020 | $297M | $297M | 7 | 4 | 0 | 1 | $1.5M |
| 2018 | Mar 28, 2019 | $233M | $231M | 8 | 4 | 0 | 1 | $4.1M |
| 2017 | Mar 29, 2018 | $238M | $235M | 8 | 4 | 0 | 1 | $4.1M |
| 2016 | Mar 22, 2017 | $215M | $209M | 8 | 4 | n/a | 1 | $4.1M |
| 2015 | Mar 30, 2016 | $191M | $178M | 7 | 4 | n/a | 1 | $4.1M |
| 2014 | Mar 27, 2015 | $184M | $184M | 7 | 4 | n/a | 1 | $4.1M |
| 2013 | Mar 5, 2014 | $170M | $165M | 7 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $173M | $170M | 6 | 4 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $102M | $102M | n/a | n/a | n/a | n/a | n/a |