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CRD 148123
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 |
|---|---|---|---|---|---|---|
| J••• C••••• B••••••• | n/a | HOUSTON, TX | 17 | 19 | n/a | yes |
| R•••••• A•••••••• R••• P•••• | n/a | HOUSTON, TX | 16 | 16 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••••• R••••• D•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2022 | May 20, 2022 | May 17, 2024 |
| F••••••••• F••••• B•••• M•••• S• I•• M•••• G•••• F••••••••• | SHAREHOLDER, TRUSTEE | E | yes | 04/2023 | Aug 31, 2023 | May 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M•••• S••••••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN D•••• | CA | United States | 2 | yes |
| SAN A•••••• | TX | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 1 | 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 | $651M | $386M | 68.5% | $160M | 59.7% | 20 | 20 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 2 | Aug 30, 2021 | Aug 5, 2021 | HOUSTON, TX | Team lift out | RIA to wirehouse | 18.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H•••••• S••••••••• I••• | 2 | May 1, 2015 | Apr 7, 2015 | SAN A••••••, TX | Team lift out | Other | 1.7% |
| yes |
| A•••••• F••••••• M••••••• R••••• | n/a | HOUSTON, TX | 9 | 10 | 2 | yes |
| F•••••••• M••••••• | n/a | HOUSTON, TX | SAN D••••, CA | 8 | 23 | 3 | yes |
| C••••••• E••• | n/a | SAN D••••, CA | 8 | 16 | 5 | yes |
| V••••• J•••• | n/a | HOUSTON, TX | San Antonio, TX | 7 | 34 | 5 | yes |
| O•••• R• F••••• | n/a | San Antonio, TX | HOUSTON, TX | 7 | 33 | 4 | yes |
| L••• O•••• G••••••• | n/a | HOUSTON, TX | 4 | 10 | n/a | yes |
| D•••• C•••• G•••••• | Certified Financial Planner | HOUSTON, TX | 4 | 9 | n/a | yes |
| J••• A•••• B•••••• | n/a | HOUSTON, TX | 3 | 11 | n/a | yes |
| P••••••• A•••• S•••••••• | n/a | HOUSTON, TX | 3 | 12 | n/a | yes |
| E•••• L••••• | n/a | HOUSTON, TX | 3 | 13 | n/a | yes |
| A•••••• L•••• P••••••• M••••••• | n/a | HOUSTON, TX | 3 | 11 | n/a | yes |
| E••••• A•••• S••• | n/a | HOUSTON, TX | 3 | 10 | n/a | yes |
| B••••••• H••••• | n/a | HOUSTON, TX | 2 | 20 | n/a | yes |
| I•••• S••••• S•••••• | n/a | HOUSTON, TX | 0 | 12 | 2 | yes |
| M••••• M•••••••• S•••• | n/a | HOUSTON, TX | 0 | 21 | 1 | yes |
| H•••••• J•••• |
| PRESIDENT, DESIGNATED OFFICER |
| Na |
| yes |
| 08/2008 |
| Mar 27, 2012 |
| May 17, 2024 |
| L•••• D••••• H••••• | CHAIRMAN OF THE BOARD | F | yes | 04/2023 | Mar 27, 2012 | May 17, 2024 |
| M•••• C••• D• B••••• S••• D• C••• | Shareholder | E | yes | 07/2008 | Aug 31, 2023 | May 17, 2024 |
| M•••• G•••• F••••••••• S••• D• C••• | Shareholder | E | yes | 07/2003 | Jan 22, 2021 | May 17, 2024 |
| M•••• S••••••• D• C• | Shareholder | E | yes | 07/2007 | Aug 31, 2023 | May 17, 2024 |
| $651M |
| $530M |
| 20 |
| 17 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $386M | $282M | 20 | 14 | 2 | n/a | n/a |
| 2023 | Mar 18, 2024 | $201M | $116M | 20 | 14 | 2 | n/a | n/a |
| 2022 | Mar 31, 2023 | $160M | $95.7M | 18 | 15 | 2 | n/a | n/a |
| 2021 | Mar 30, 2022 | $171M | $100M | 15 | 12 | 2 | n/a | n/a |
| 2020 | Mar 29, 2021 | $126M | $68.4M | 13 | 12 | 2 | n/a | n/a |
| 2011 | Mar 27, 2012 | $44.2M | $29.8M | n/a | n/a | n/a | n/a | n/a |