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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

KING INVESTMENT ADVISORS, INC.

CRD 108198

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:488d9bc7-5fc3-0eff-1d5e-122fddfb1bea

Data as of Apr 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Apr 12, 2016
24 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Employees: 1
Advisory employees: 0
SEC number: 801-27224
CRD: 108198
Filings on the tape: 24
First filed: Mar 12, 2012
Latest filed: Apr 12, 2016
Organised: Corporation, Texas

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROGER EARL KING	Chartered Financial Analyst	HOUSTON, TX	40	45	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KING, ROGER, EARL	President	E	yes	02/1981	Mar 12, 2012	Apr 12, 2016
LIGHTFOOT, JANE	SECRETARY & TREASURER	Na	yes	02/2015	Feb 22, 2016	Apr 12, 2016
HORNSBY, BEVERLY, BAGGS	CHIEF COMPLIANCE OFFICER	Na	no	02/2015	Apr 29, 2015	Apr 12, 2016
SERVIS, JOHN, R.	Director	Na	no	03/1993	Mar 12, 2012	Apr 12, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
OXBOW ADVISORS	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Apr 12, 2016	n/a	n/a	1	0	n/a	n/a	n/a
2014	Mar 9, 2015	$311M	$299M	14	6	n/a	n/a	n/a
2013	Jan 31, 2014	$331M	$320M	16	6	n/a	n/a	n/a
2012	Jan 28, 2013	$435M	$427M	21	7	n/a	n/a	n/a
2011	Mar 12, 2012	$410M	$403M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	n/a	$311M	n/a	$435M	n/a	1	14	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OXBOW ADVISORS, LLC	2	Nov 12, 2015	Mar 17, 2015	HOUSTON, TX	Team lift out	Other	66.7%

Relationships

Controls (2)

← KING, ROGER, EARLOwnerPRESIDENT, ownership code E, individual
Mar 12, 2012 to presentfactForm ADV
← LIGHTFOOT, JANEOwnerSECRETARY & TREASURER, ownership code NA, individual
Feb 22, 2016 to presentfactForm ADV

Owns (2)

← HORNSBY, BEVERLY, BAGGSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 29, 2015 to presentfactForm ADV
← SERVIS, JOHN, R.OwnerDIRECTOR, ownership code NA, individual
Mar 12, 2012 to presentfactForm ADV

Registered with (11)

← ROGER EARL KINGAdvisorregistration: current employment
Jul 22, 1986 to presentfactForm ADV
← DANA BUTTREY CROSWHITEAdvisorregistration: previous registration
Jul 20, 2007 to Nov 12, 2015factForm ADV
← BRYAN WILKINSON LESTERAdvisorregistration: previous registration
Jan 10, 2014 to Nov 12, 2015factForm ADV
← Michael Joseph ZarichAdvisorregistration: previous registration
Jul 20, 2007 to May 6, 2015factForm ADV
← JON MICHAEL SPEIGHTAdvisorregistration: previous registration
Jun 13, 2003 to Jan 10, 2014factForm ADV
← LEAH REBECCA BENNETTAdvisorregistration: previous registration
Feb 6, 1996 to Aug 1, 2013factForm ADV
← Todd StephensAdvisorregistration: previous registration
Aug 4, 2008 to Dec 1, 2010factForm ADV
← DEAN LOVELL BOEBINGERAdvisorregistration: previous registration
Apr 27, 2000 to Apr 6, 2010factForm ADV
← MELANIA MCCARLEYAdvisorregistration: previous registration
Sep 12, 2007 to Dec 5, 2008factForm ADV
← RYAN MCCLEARYAdvisorregistration: previous registration
Feb 10, 2006 to Sep 15, 2008factForm ADV
← DOUGLAS ROBERT CANNONAdvisorregistration: previous registration
May 21, 1996 to Jan 28, 2005factForm ADV

Moved with (1)

→ OXBOW ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Nov 12, 2015 to Mar 17, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:488d9bc7-5fc3-0eff-1d5e-122fddfb1bea
First observed: Mar 12, 2012
Last observed: Apr 12, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KING INVESTMENT ADVISORS, INC.

CRD 108198

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:488d9bc7-5fc3-0eff-1d5e-122fddfb1bea

Data as of Apr 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROGER EARL KING

Chartered Financial Analyst

HOUSTON, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KING, ROGER, EARL

President

yes

02/1981

Mar 12, 2012

Apr 12, 2016

LIGHTFOOT, JANE

SECRETARY & TREASURER

yes

02/2015

Feb 22, 2016

Apr 12, 2016

HORNSBY, BEVERLY, BAGGS

CHIEF COMPLIANCE OFFICER

02/2015

Apr 29, 2015

Apr 12, 2016

SERVIS, JOHN, R.

Director

03/1993

Mar 12, 2012

Apr 12, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OXBOW ADVISORS

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Apr 12, 2016

n/a

2014

Mar 9, 2015

$311M

$299M

n/a

2013

Jan 31, 2014

$331M

$320M

n/a

2012

Jan 28, 2013

$435M

$427M

n/a

2011

Mar 12, 2012

$410M

$403M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a

$311M

n/a

$435M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OXBOW ADVISORS, LLC

Nov 12, 2015

Mar 17, 2015

HOUSTON, TX

Team lift out

Other

66.7%