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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RIVERSTONE WEALTH MANAGEMENT

CRD 40418

AUSTIN, 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:511afa3c-3f34-f369-34b2-c1490b845fc0

Data as of Mar 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2012 to Mar 5, 2013
4 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
Regulatory AUM: $380MItem 5.F on the latest filing (2013-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $216M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 20
Accounts: 2,732
Custody, client assets: $0
SEC number: 801-63700
CRD: 40418
Filings on the tape: 4
First filed: Feb 3, 2012
Latest filed: Mar 5, 2013
Organised: Corporation, Texas

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
RIVERSTONE FINANCIAL GROUP, INC.	Shareholder	E	yes	01/1996	Feb 3, 2012	Mar 5, 2013
SCOTT, TORRY CHRISTIAN	DIRECTOR, MUNICIPAL PRINCIPAL	Na	yes	12/2000	Feb 3, 2012	Mar 5, 2013
SMITH, BRIAN EDWARD	President	C	yes	03/2003	Feb 3, 2012	Mar 5, 2013
SMITH, BRIAN EDWARD	PRESIDENT,CEO, DIRECTOR, SROP / CROP	Na	yes	05/2011	Feb 3, 2012	Mar 5, 2013
FAUGHT, THOMAS DUANE	CHIEF COMPLIANCE OFFICER	Na	no	05/2011	Feb 3, 2012	Mar 5, 2013
GAUTIER, PAUL KEVIN SR	Director	Na	no	06/2004	Feb 3, 2012	Mar 5, 2013
MALLARI, KATHLEEN	Finop	Na	no	11/2012	Nov 15, 2012	Mar 5, 2013
VALLE, EDUARDO	Shareholder	Na	no	05/2011	Feb 3, 2012	Mar 5, 2013

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN ANTONIO	TX	United States	n/a	no

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
2012	Mar 5, 2013	$380M	$216M	23	20	n/a	n/a	n/a
2011	Feb 3, 2012	$161M	$108M	n/a	n/a	n/a	n/a	n/a

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
2012	$380M	$161M	135.6%	n/a	n/a	23	n/a	n/a	n/a

Relationships

Owns (4)

← FAUGHT, THOMAS DUANEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV
← VALLE, EDUARDOOwnerSHAREHOLDER, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV
← GAUTIER, PAUL KEVIN SROwnerDIRECTOR, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV
← MALLARI, KATHLEENOwnerFINOP, ownership code NA, individual
Nov 15, 2012 to presentfactForm ADV

Controls (3)

← SMITH, BRIAN EDWARDOwnerPRESIDENT, ownership code C, individual
Feb 3, 2012 to presentfactForm ADV
← SCOTT, TORRY CHRISTIANOwnerDIRECTOR, MUNICIPAL PRINCIPAL, ownership code NA, individual
Feb 3, 2012 to presentfactForm ADV
← RIVERSTONE FINANCIAL GROUP, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 3, 2012 to presentfactForm ADV

Registered with (32)

← TORRY CHRISTIAN SCOTTAdvisorregistration: previous registration
May 16, 2006 to Dec 10, 2013factForm ADV
← THOMAS DUANE FAUGHTAdvisorregistration: previous registration
Mar 13, 2009 to Dec 9, 2013factForm ADV
← DONALD RAYMOND MOUTONAdvisorregistration: previous registration
Oct 15, 2010 to Dec 9, 2013factForm ADV
← BOBBY KYLE COWANDAdvisorregistration: previous registration
Jan 26, 2004 to Dec 9, 2013factForm ADV
← WILLIAM GEORGE NEWBOULDAdvisorregistration: previous registration
Feb 12, 2004 to Dec 9, 2013factForm ADV
← AZAM HASSIB JABERAdvisorregistration: previous registration
Nov 3, 2006 to Dec 9, 2013factForm ADV
← JAVIER OMAR LARREAAdvisorregistration: previous registration
Jan 17, 2003 to Dec 9, 2013factForm ADV
← RAYMOND ALBERT DERAGONAdvisorregistration: previous registration
Aug 25, 2009 to Dec 9, 2013factForm ADV
← SHAWN FORREST MORGANAdvisorregistration: previous registration
Jul 22, 2009 to Dec 9, 2013factForm ADV
← THEODORE RAY BURKHARTAdvisorregistration: previous registration
May 18, 2009 to Dec 9, 2013factForm ADV
← PAUL KEVIN GAUTIERAdvisorregistration: previous registration
Feb 16, 2005 to Dec 9, 2013factForm ADV
← NANCY THI HOANGAdvisorregistration: previous registration
Jun 4, 2010 to Dec 9, 2013factForm ADV
← SETH MICHAEL WHITNEYAdvisorregistration: previous registration
Jul 24, 2009 to Dec 9, 2013factForm ADV
← MARIA PATTONAdvisorregistration: previous registration
Mar 3, 2009 to Dec 9, 2013factForm ADV
← Ashley Renee PottsAdvisorregistration: previous registration
Oct 19, 2011 to Jun 12, 2013factForm ADV
← JENNIFER LYNN SCROGGINSAdvisorregistration: previous registration
Oct 1, 2009 to Apr 23, 2012factForm ADV
← JONATHAN WILLIAM LENNOXAdvisorregistration: previous registration
Sep 15, 2005 to May 17, 2011factForm ADV
← Eric Scott PomerantzAdvisorregistration: previous registration
Jan 16, 2009 to Nov 5, 2010factForm ADV
← PETER JOHN TOMASSIAdvisorregistration: previous registration
May 18, 2009 to Jan 15, 2010factForm ADV
← DANIEL FUENTESAdvisorregistration: previous registration
May 13, 2009 to Oct 20, 2009factForm ADV
← GREGORY ALLEN GATLINAdvisorregistration: previous registration
Jan 14, 2004 to Sep 17, 2009factForm ADV
← JULLIE ANN NICOLE STRIPPOLIAdvisorregistration: previous registration
Oct 26, 2007 to Oct 27, 2008factForm ADV
← MICHAEL PAUL LEVINGSTONAdvisorregistration: previous registration
Aug 17, 2007 to Sep 18, 2008factForm ADV
← JOHN MICHAEL ROEWEAdvisorregistration: previous registration
Jan 15, 2007 to Sep 18, 2008factForm ADV
← ALAN MEARS GILBREATHAdvisorregistration: previous registration
Apr 9, 2007 to Sep 18, 2008factForm ADV
← HOMER PHILLIPS PARSEGIANAdvisorregistration: previous registration
May 7, 2004 to Apr 4, 2007factForm ADV
← BRANDON SHEA COXAdvisorregistration: previous registration
Jan 17, 2003 to Mar 12, 2007factForm ADV
← SOLY SOLOMON KORAdvisorregistration: previous registration
Apr 5, 2004 to Mar 12, 2007factForm ADV
← KENNETH WAYNE PRICEAdvisorregistration: previous registration
Jan 17, 2003 to Feb 21, 2007factForm ADV
← JAN O'CONNELLAdvisorregistration: previous registration
May 16, 2006 to Jul 5, 2006factForm ADV
and 2 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:511afa3c-3f34-f369-34b2-c1490b845fc0
First observed: Feb 3, 2012
Last observed: Mar 5, 2013 164 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.

RIVERSTONE WEALTH MANAGEMENT

CRD 40418

AUSTIN, 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:511afa3c-3f34-f369-34b2-c1490b845fc0

Data as of Mar 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RIVERSTONE FINANCIAL GROUP, INC.

Shareholder

yes

01/1996

Feb 3, 2012

Mar 5, 2013

SCOTT, TORRY CHRISTIAN

DIRECTOR, MUNICIPAL PRINCIPAL

yes

12/2000

Feb 3, 2012

Mar 5, 2013

SMITH, BRIAN EDWARD

President

yes

03/2003

Feb 3, 2012

Mar 5, 2013

SMITH, BRIAN EDWARD

PRESIDENT,CEO, DIRECTOR, SROP / CROP

yes

05/2011

Feb 3, 2012

Mar 5, 2013

FAUGHT, THOMAS DUANE

CHIEF COMPLIANCE OFFICER

05/2011

Feb 3, 2012

Mar 5, 2013

GAUTIER, PAUL KEVIN SR

Director

06/2004

Feb 3, 2012

Mar 5, 2013

MALLARI, KATHLEEN

Finop

11/2012

Nov 15, 2012

Mar 5, 2013

VALLE, EDUARDO

Shareholder

05/2011

Feb 3, 2012

Mar 5, 2013

City

State

Country

Employees

Also broker-dealer

SAN ANTONIO

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 5, 2013

$380M

$216M

n/a

2011

Feb 3, 2012

$161M

$108M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$380M

$161M

135.6%

n/a