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CRD 165237
SAN ANTONIO, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-14 (filing); first seen by DFX 2026-09-15.
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 |
|---|---|---|---|---|---|---|
| DOUGLAS RONALD MOE | n/a | NEW BRAUNFELS, TX | LAREDO, TX | SAN ANTONIO, TX | 13 | 25 | 2 | no |
| DIANA MORALES JORDAN | n/a | SAN ANTONIO, TX | NEW BRAUNFELS, TX | 8 | 38 | n/a | no |
| HERBERT N KRAUS | n/a | LAREDO, TX | SAN ANTONIO, TX | 4 | 21 | 1 | no |
| MEAGAN MOE NIESE | Certified Financial Planner | AUSTIN, TX | SAN ANTONIO, TX | 4 | 14 | 1 | no |
| Clay Rogers | n/a | SAN ANTONIO, TX | 4 | 10 | n/a | no |
| JEFFREY ALLEN WRIGHT | Certified Financial Planner|Chartered Financial Consultant | HOUSTON, TX | SAN ANTONIO, TX | 3 | 32 | 3 | no |
| MADISON HALEY MOE | n/a | SAN ANTONIO, TX | 2 | 12 | n/a | no |
| Austin Miller | n/a | SAN ANTONIO, TX | 2 | 12 | n/a | no |
| HANY H AHMAD | Certified Financial Planner | SAN ANTONIO, TX | Houston, TX | 2 | 21 | 5 | no |
| RUSSELL DRAKE THAMM | n/a | SAN ANTONIO, TX | Austin, TX | 0 | 12 | 1 | no |
| MICHAEL DE GUZMAN | n/a | SAN ANTONIO, TX | 0 | 13 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MOE, DOUGLAS, RONALD | CEO, CHIEF COMPLIANCE OFFICER | E | yes | 08/2012 | Aug 14, 2026 | Aug 14, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BERT KRAUS CPA | n/a | n/a | n/a | N | no | n/a |
| LAW OFFICES OF DOUG MOE | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Houston | TX | United States | 2 | no |
| NEW BRAUNFELS | TX | United States | 2 | no |
| Austin | TX | United States | 1 | no |
| Laredo | TX | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 20, 2026 | $1.0B | $1.0B | 30 | 15 | 4 | n/a | n/a |
| 2024 | Mar 20, 2025 | $800M | $800M | 27 | 13 | 4 | n/a | n/a |
| 2023 | Mar 18, 2024 | $654M | $654M | 28 | 16 | 5 | n/a | n/a |
| 2022 | Mar 9, 2023 | $560M | $560M | 14 | 13 | 5 | n/a | n/a |
| 2021 | Mar 15, 2022 | $606M | $606M | 14 | 13 | 4 | n/a | n/a |
| 2020 | Mar 2, 2021 | $464M | $464M | 15 | 13 | 3 | n/a | n/a |
| 2019 | Mar 5, 2020 | $196M | $196M | 11 | 10 | 3 | n/a | n/a |
| 2018 | Feb 27, 2019 | $117M | $117M | 7 | 6 | 1 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 4 | -3 | 36.4% | 0 | 3 | 0 | 3 | 8 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.0B | $800M | 26.6% | $560M | 21.8% | 26 | 27 | 4 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HERITAGE HAUS WEALTH PARTNERS LLC | 3 | Aug 14, 2026 | Jul 31, 2026 | NEW BRAUNFELS, TX | Team lift out | RIA to new firm | 21.4% |
| MARINER ADVISOR NETWORK | 2 | Oct 17, 2023 | Oct 12, 2023 | SAN ANTONIO, TX | Team lift out | RIA to ibd | 15.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| INTRUA FINANCIAL | 2 | May 15, 2020 | May 15, 2020 | HOUSTON, TX | Team lift out | RIA to RIA | 8.0% |
| FIRST COMMAND ADVISORY SERVICES | 3 | Aug 15, 2019 | Aug 12, 2019 | FORT WORTH, TX | Team lift out | Ibd to RIA | 0.6% |