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CRD 108046
HOUSTON, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| B••••• C•••••• B••••• | n/a | HOUSTON, TX | 18 | 26 | n/a | no |
| J•••• M•••••• I•••••••• | n/a | HOUSTON, TX | 17 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••• B•••••• C•••••• | MANAGING MEMBER | C | yes | 05/2012 | Aug 26, 2026 | Aug 26, 2026 |
| R••••••• V•••••• K•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2022 | Aug 26, 2026 | Aug 26, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Dallas | TX | United States | 3 | no |
| Austin | TX | United States | 2 | no |
| Broomfield | Co | United States | 1 | no |
| CORAL GABLES | FL | United States | 1 | no |
| Metairie | La | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 1 | 3 | 3.3% | 1 | 0 | 0 | 12 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.0B | $1.7B | 15.8% | $1.4B | 11.4% | 32 | 31 | 4 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••••• I••••••••• M••••••••• | 2 | Mar 8, 2018 | Feb 28, 2019 | SAINT LOUIS, MO | Team lift out | Ibd to RIA | 0.7% |
| no |
| J••• P•••••• S•••••••• | n/a | HOUSTON, TX | 15 | 25 | 3 | no |
| B•••• A•••••• R•••• | n/a | HOUSTON, TX | 14 | 15 | n/a | no |
| T••••••• S•••••• P••• | n/a | HOUSTON, TX | 14 | 43 | 2 | no |
| T••••• S• Q•••• | n/a | HOUSTON, TX | 13 | 28 | 1 | no |
| J•••••• T••• D••••• | n/a | HOUSTON, TX | 13 | 32 | 2 | no |
| T•••••• B•••• W••••••• | n/a | HOUSTON, TX | 12 | 40 | 5 | no |
| C•••• A••• F•••••• | n/a | HOUSTON, TX | 11 | 25 | n/a | no |
| K•••• P• H•••••• | n/a | HOUSTON, TX | 8 | 30 | 11 | no |
| B••••• H••••• N•••••• | n/a | HOUSTON, TX | 8 | 16 | n/a | no |
| D•••• C•••••• D•••• | n/a | HOUSTON, TX | Vero Beach, FL | 7 | 39 | 4 | no |
| W•••••• R••• G••••• | n/a | HOUSTON, TX | 4 | 34 | 3 | no |
| S•••• M•••••• B••••••• | n/a | HOUSTON, TX | 4 | 19 | 8 | no |
| R•••• J•••• | n/a | HOUSTON, TX | 4 | 12 | n/a | no |
| V••••• K•••• R•••••• | n/a | HOUSTON, TX | 4 | 42 | 9 | no |
| J•••• D•••••• C•••••• | Certified Financial Planner | Tyler, TX | HOUSTON, TX | 3 | 27 | 5 | no |
| J••••• F•••••••• B••••• | n/a | Philadelphia, PA | HOUSTON, TX | 2 | 13 | n/a | no |
| J•••••• W•••••• D••••• | n/a | HOUSTON, TX | 2 | 22 | 10 | no |
| C•••••••• M•••••• P•••••• | Certified Financial Planner | HOUSTON, TX | Dallas, TX | 2 | 23 | 2 | no |
| J••••• J••••• P••••• | n/a | HOUSTON, TX | Dallas, TX | 2 | 18 | 1 | no |
| E•••••••• M••••••• N••••••••• | n/a | HOUSTON, TX | Broomfield, CO | 2 | 16 | 1 | no |
| K•••••• L••••• O•••••• | n/a | Broomfield, CO | 1 | 32 | 3 | no |
| D•••• J••••• | Certified Financial Planner | HOUSTON, TX | 1 | 10 | 2 | no |
| M•••••• M•••• K•••• | n/a | Dallas, TX | HOUSTON, TX | 1 | 14 | 1 | no |
| Trustee |
| F |
| yes |
| 12/2014 |
| Feb 17, 2017 |
| Dec 24, 2024 |
| B•••••• D•••• W••• | Trustee | F | yes | 12/2014 | Feb 17, 2017 | Dec 24, 2024 |
| D••• W••• B••••• T•••• | Member | B | no | 12/2014 | Feb 17, 2017 | Dec 24, 2024 |
| T•• C••••• B••••• T•••• | Member | B | no | 12/2014 | Feb 17, 2017 | Dec 24, 2024 |
| no |
| SAN ANTONIO | TX | United States | 1 | no |
| Feb 10, 2026 |
| $2.0B |
| $1.9B |
| 32 |
| 26 |
| 3 |
| n/a |
| n/a |
| 2024 | Feb 18, 2025 | $1.7B | $1.6B | 31 | 25 | 6 | n/a | n/a |
| 2023 | Feb 9, 2024 | $1.6B | $1.5B | 27 | 18 | 6 | n/a | n/a |
| 2022 | Feb 10, 2023 | $1.4B | $1.4B | 25 | 19 | 4 | n/a | n/a |
| 2021 | Mar 3, 2022 | $1.5B | $1.4B | 20 | 17 | 4 | n/a | n/a |
| 2020 | Mar 23, 2021 | $1.2B | $1.2B | 19 | 16 | 4 | n/a | n/a |
| 2019 | Mar 19, 2020 | $1.2B | $1.1B | 19 | 16 | 2 | n/a | n/a |
| 2018 | Mar 7, 2019 | $984M | $945M | 19 | 15 | 2 | n/a | n/a |
| 2017 | Feb 27, 2018 | $1.0B | $1.0B | 16 | 13 | 2 | n/a | n/a |
| 2016 | Feb 17, 2017 | $865M | $818M | 18 | 15 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $702M | $691M | 17 | 14 | n/a | n/a | n/a |
| 2014 | Mar 3, 2015 | $701M | $690M | 15 | 13 | n/a | n/a | n/a |
| 2013 | Feb 26, 2014 | $545M | $537M | 14 | 12 | n/a | n/a | n/a |
| 2012 | Feb 7, 2013 | $384M | $378M | 11 | 3 | n/a | n/a | n/a |
| 2011 | Jan 30, 2012 | $301M | $301M | n/a | n/a | n/a | n/a | n/a |