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CRD 310570
THE WOODLANDS, 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 |
|---|---|---|---|---|---|---|
| L•••• W•••• C••••••• | n/a | THE WOODLANDS, TX | 5 | 14 | 2 | no |
| M•••••• A••• S•••••• | n/a | Katy, TX | THE WOODLANDS, TX | 4 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• B••••• D•• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2026 | Mar 21, 2026 | Mar 21, 2026 |
| C•••••••• B••••• C••••• | CHIEF OPERATING OFFICER | Na | yes | 08/2022 | Mar 21, 2026 | Mar 21, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 21, 2026 |
| 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 | 5 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $186M | $117M | 58.4% | n/a | n/a | 11 | 8 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | 2 | Mar 13, 2023 | Mar 13, 2023 | HOUSTON, TX | Team lift out | Ibd to RIA | 0.0% |
| M•• I•••••••• S•••••••• L•• | 3 | Dec 22, 2020 | Mar 12, 2021 |
| no |
| B•••• C••••• C••••••• | n/a | THE WOODLANDS, TX | 4 | 16 | 2 | no |
| J•••••• J•••• S••••• | n/a | THE WOODLANDS, TX | 3 | 19 | 2 | yes |
| W•••••• E••••• G•••• | n/a | THE WOODLANDS, TX | 3 | 25 | 2 | no |
| D•••• R•• L••••••• | n/a | THE WOODLANDS, TX | 2 | 18 | 4 | no |
| J••••••• R••• S•••••• | Certified Financial Planner | THE WOODLANDS, TX | 2 | 22 | 6 | no |
| A•••• J•••• B••••••• | n/a | THE WOODLANDS, TX | 1 | 33 | 1 | no |
| C••••• G•••••• | n/a | THE WOODLANDS, TX | Perkasie, PA | 0 | 10 | 1 | no |
| J•••••• C• G•••••• | Certified Financial Planner|Chartered Financial Consultant | THE WOODLANDS, TX | Dandridge, TN | 0 | 15 | 2 | no |
| MANAGING MEMBER/CEO |
| E |
| yes |
| 06/2016 |
| Mar 21, 2026 |
| Mar 21, 2026 |
| $186M |
| $99.8M |
| 11 |
| 11 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 5, 2025 | $117M | $66.7M | 8 | 8 | 0 | n/a | n/a |
| HOUSTON, TX |
| Team lift out |
| Ibd to RIA |
| 0.1% |