DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 309370
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RICARDO GARCIA FUENTES | n/a | MCALLEN, TX | HOUSTON, TX | 6 | 16 | 1 | no |
| JOHN LEE TIPPIT | n/a | MCALLEN, TX | HOUSTON, TX | 6 | 14 | 2 | yes |
| ROBERT RAIMOND FARRIS | Certified Financial Planner | HOUSTON, TX | 6 | 11 | 1 | no |
| LINDA LORRAINE ROBERTS | n/a | HOUSTON, TX | 6 | 14 | 3 | no |
| ALMA LETICIA VILLARREAL | n/a | HOUSTON, TX | 4 | 21 | 4 | no |
| EDUARDO ENRIQUE CASO | n/a | HOUSTON, TX | 4 | 19 | 4 | no |
| WILLIAM DARRELL WILLERSON | Chartered Financial Analyst | HOUSTON, TX | 1 | 23 | 3 | no |
| ANTHONY PEYTON STAMPER | Certified Financial Planner | HOUSTON, TX | 1 | 10 | n/a | no |
| MICHAEL RAY COSTA | n/a | Harlingen, TX | HOUSTON, TX | 0 | 32 | 2 | no |
| TANYA TERESA CASTRO | Certified Financial Planner | HOUSTON, TX | 0 | 21 | 2 | no |
| Hunter Blake Layne | Certified Financial Planner | HOUSTON, TX | 0 | 10 | 1 | no |
| Cody Drake Perez | n/a | Brownsville, TX | 0 | 14 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CAFFERKY, BRIAN | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2024 | Aug 27, 2024 | Aug 27, 2024 |
| FARRIS, ROBERT, RAIMOND | Chairman | Na | yes | 08/2024 | Jun 10, 2020 | Aug 27, 2024 |
| FEDORKO, BENJAMIN, ADAM | President | Na | yes | 08/2024 | Aug 27, 2024 | Aug 27, 2024 |
| TEXAS REGIONAL BANK | Owner | E | yes | 04/2020 | Jun 10, 2020 | Aug 27, 2024 |
| TEXAS STATE BANKSHARES, INC. | Owner | E | yes | 07/2010 | Sep 22, 2022 | Aug 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| TEXAS REGIONAL BANK | n/a | n/a | n/a | Y | yes | n/a |
| TRB CAPITAL MARKETS, LLC | n/a | n/a | n/a | N | yes | n/a |
| TRB INSURANCE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Harlingen | TX | United States | 5 | no |
| Mcallen | TX | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $3.7B | $3.7B | 15 | 13 | 3 | 1 | n/a |
| 2024 | Apr 3, 2025 | $1.2B | $1.1B | 15 | 9 | 3 | 1 | n/a |
| 2023 | Mar 29, 2024 | $1.2B | $1.2B | 8 | 8 | 2 | n/a | n/a |
| 2022 | Mar 17, 2023 | $489M | $484M | 7 | 7 | 2 | n/a | n/a |
| 2021 | Mar 31, 2022 | $480M | $341M | 9 | 9 | 2 | n/a | n/a |
| 2020 | Mar 4, 2021 | $181M | $171M | 7 | 5 | 2 | 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 4 | 0 | 33.3% | 0 | 2 | 0 | 7 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.7B | $1.2B | 219.8% | $489M | 97.0% | 15 | 15 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| OBS FINANCIAL | 5 | Mar 31, 2021 | Jul 27, 2020 | CONCORD, CA | Firm absorbed | RIA to RIA | 100.0% |
| ARKADIOS WEALTH ADVISORS | 2 | Dec 10, 2019 | Dec 6, 2021 | HARLINGEN, TX | Team lift out | RIA to new firm | 6.7% |