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CRD 145814
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SOMOZA, PATRICIA, KELLY | MANAGER; AND CHIEF COMPLIANCE OFFICER | E | yes | 12/2007 | Mar 26, 2012 | Nov 5, 2019 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 27, 2019 | $75.1M | $75.1M | 1 | 1 | 0 | n/a | n/a |
| 2017 | Mar 30, 2018 | $91.5M | $91.5M | 1 | 1 | 0 | n/a | n/a |
| 2016 | Mar 28, 2017 | $84.8M | $84.8M | 2 | 2 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $127M | $127M | 4 | 3 | n/a | n/a | n/a |
| 2014 | Jan 26, 2015 | $143M | $143M | 4 | 3 | n/a | n/a | n/a |
| 2013 | Mar 21, 2014 | $126M | $126M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Mar 21, 2013 | $117M | $117M | 4 | 3 | n/a | n/a | n/a |
| 2011 | Mar 26, 2012 | $144M | $144M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $75.1M | $91.5M | -17.9% | $127M | -16.1% | 1 | 1 | 0 | 0 |