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CRD 305840
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 |
|---|---|---|---|---|---|---|
| KENNETH MICHAEL BURKE | Chartered Financial Analyst | HOUSTON, TX | 6 | 25 | 5 | no |
| CHARLES KEITHLEY WARD | Chartered Financial Analyst | HOUSTON, TX | 5 | 10 | 1 | no |
| DE ANN DERBONNE | n/a | HOUSTON, TX | 5 | 17 | n/a | no |
| Alexander Baker | n/a | HOUSTON, TX | 2 | 11 | n/a | no |
| Christopher W. Winters | n/a | HOUSTON, TX | 1 | 10 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BURKE, KENNETH, MICHAEL | MANAGING MEMBER | E | yes | 08/2019 | Aug 19, 2026 | Aug 19, 2026 |
| WARD, CHARLES, KEITHLEY | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2019 | Aug 19, 2026 | Aug 19, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 22, 2026 | $95.2M | $86.3M | 3 | 3 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $95.2M | n/a | n/a | n/a | n/a | 3 | n/a | 0 | n/a |