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CRD 130914
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 |
|---|---|---|---|---|---|---|
| PETER TIMOTHY FITZGERALD | n/a | HOUSTON, TX | 22 | 35 | 1 | yes |
| JOSEPH CHARLES ALLISON | Certified Financial Planner|Chartered Financial Consultant | HOUSTON, TX | BAY CITY, TX | 22 | 30 | 2 | yes |
| DEAN ALAN HARVEY | Certified Financial Planner | Houston, TX | HOUSTON, TX | 22 | 28 | 1 | yes |
| STACEY LEE ROGNON | n/a | Houston, TX | HOUSTON, TX | 22 | 26 | 2 | no |
| CHRISTOPHER DAVID GAMMON | Certified Financial Planner | HOUSTON, TX | 22 | 33 | 1 | yes |
| JEFFREY GORDON RILEY | n/a | HOUSTON, TX | 22 | 32 | 1 | yes |
| DANNY HAROLD ARMSTRONG | n/a | COMANCHE, TX | HOUSTON, TX | 22 | 34 | 1 | yes |
| MELVIN HOWELL EHLERT | Chartered Financial Consultant | HOUSTON, TX | BRENHAM, TX | 21 | 43 | 1 | yes |
| MICHAEL J SPEARS | n/a | HOUSTON, TX | 20 | 24 | n/a | yes |
| JUSTIN LEE SMITH | n/a | HOUSTON, TX | Angleton, TX | 19 | 21 | 1 | yes |
| MAGDALENA BEATRIZ SANTOS | n/a | HOUSTON, TX | 18 | 24 | n/a | yes |
| CODY CLIFF BAUER | n/a | Winnie, TX | HOUSTON, TX | 18 | 20 | n/a | yes |
| ANDREA KAYE FREEDMAN | Certified Financial Planner | BELLAIRE, TX | 17 | 33 | 2 | yes |
| BRENT SMITH SIMMONS | n/a | HOUSTON, TX | 15 | 39 | 2 | yes |
| JAMES JANGHWAN KIM | Certified Financial Planner|Personal Financial Specialist | CORPUS CHRISTI, TX | HOUSTON, TX | 14 | 14 | n/a | yes |
| MICHAEL ANTHONY PETTER | Chartered Financial Consultant | SAN ANTONIO, TX | HOUSTON, TX | 13 | 30 | n/a | yes |
| DAVID SCOTT COFFEE | n/a | HOUSTON, TX | Sugarland, TX | 12 | 28 | 4 | yes |
| KIRAN NAGINBHAI PATEL | n/a | ARLINGTON, TX | HOUSTON, TX | 10 | 20 | 3 | no |
| RONALD CHARLES BUCCHI | Certified Financial Planner | HOUSTON, TX | Bulverde, TX | 10 | 40 | n/a | yes |
| JOSHUA STEVEN KIRBY | Certified Financial Planner | HOUSTON, TX | Brenham, TX | 10 | 11 | n/a | yes |
| BARBARA COLE DERUSHA | n/a | HOUSTON, TX | McDade, TX | 8 | 21 | n/a | yes |
| Nathan Johns Irby | Certified Financial Planner | Baton Rouge, LA | HOUSTON, TX | 7 | 12 | 1 | yes |
| CRAIG LORAN SIMS | n/a | Giddings, TX | HOUSTON, TX | 7 | 31 | n/a | no |
| LEONARD HEINRICH CLAUS | n/a | HOUSTON, TX | 6 | 32 | n/a | yes |
| FREDRICK LEE JACKSON | n/a | HOUSTON, TX | 6 | 26 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GAMMON, CHRISTOPHER, DAVID | CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | E | yes | 01/2000 | Dec 9, 2011 | Dec 6, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| IMS INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Angleton | TX | United States | 1 | no |
| BAY CITY | TX | United States | 1 | no |
| Brenham | TX | United States | 1 | no |
| CORPUS CHRISTI | TX | United States | 1 | no |
| Dallas | TX | United States | 1 | no |
| Friendswood | TX | United States | 1 | no |
| Giddings | TX | United States | 1 | no |
| SAN ANTONIO | TX | United States | 1 | no |
| Winnie | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $254M | $99.2M | 25 | 25 | 9 | n/a | n/a |
| 2024 | Mar 29, 2025 | $229M | $90.1M | 27 | 27 | 10 | n/a | n/a |
| 2023 | Mar 28, 2024 | $274M | $96.0M | 31 | 31 | 10 | n/a | n/a |
| 2022 | Mar 30, 2023 | $220M | $84.8M | 32 | 32 | 11 | n/a | n/a |
| 2021 | Mar 29, 2022 | $201M | $42.2M | 32 | 32 | 11 | n/a | n/a |
| 2020 | Mar 30, 2021 | $158M | $28.2M | 35 | 35 | 11 | n/a | n/a |
| 2019 | Mar 30, 2020 | $217M | $97.5M | 39 | 39 | 10 | n/a | n/a |
| 2018 | Mar 29, 2019 | $204M | $85.0M | 36 | 36 | 11 | n/a | n/a |
| 2017 | Mar 30, 2018 | $72.7M | $58.9M | 42 | 42 | 20 | n/a | n/a |
| 2016 | Mar 30, 2017 | $83.2M | $69.6M | 57 | 57 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $76.1M | $63.6M | 62 | 62 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $90.3M | $75.8M | 64 | 64 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $84.9M | $68.7M | 64 | 64 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $76.3M | $65.9M | 65 | 65 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $70.1M | $59.1M | n/a | n/a | n/a | 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 | 1 | -1 | 3.8% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $254M | $229M | 10.9% | $220M | 5.0% | 25 | 27 | 9 | 10 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HILL COUNTRY GROUP | 3 | Mar 13, 2020 | Mar 23, 2020 | HOUSTON, TX | Team lift out | RIA to RIA | 10.3% |
| LPL FINANCIAL LLC | 2 | Aug 15, 2016 | Aug 15, 2016 | HOUSTON, TX | Team lift out | Other | 5.6% |