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CRD 107978
DALLAS, 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 |
|---|---|---|---|---|---|---|
| JAMES N HOWARD | Personal Financial Specialist | DALLAS, TX | 32 | 45 | n/a | no |
| JOHN T HOWARD | n/a | DALLAS, TX | 22 | 25 | n/a | no |
| DEREK DANIEL CHILDS | Certified Financial Planner | DALLAS, TX | 15 | 17 | n/a | no |
| STEPHEN JAMES HOWARD | n/a | DALLAS, TX | 14 | 14 | n/a | no |
| WILLIAM LOYD GRAY | n/a | AUSTIN, TX | DALLAS, TX | 14 | 24 | 1 | no |
| RANDALL WYATT HORTON | n/a | DALLAS, TX | 13 | 18 | n/a | no |
| ALBI KACANI | Certified Financial Planner | DALLAS, TX | 13 | 13 | n/a | no |
| EMILY NICOLE Swerdlow | Certified Financial Planner | DALLAS, TX | 11 | 11 | n/a | no |
| John Mark Roppolo | n/a | DALLAS, TX | 9 | 13 | n/a | no |
| Mason Chandler Clark | n/a | DALLAS, TX | 7 | 12 | n/a | no |
| GREGORY VINCENT MANGELSDORF | Certified Financial Planner | DALLAS, TX | 6 | 11 | 2 | no |
| Shelby Ann Chesnut | Certified Financial Planner | DALLAS, TX | 3 | 10 | n/a | no |
| Chasity Marie Chavez | Certified Financial Planner | DALLAS, TX | 1 | 10 | n/a | no |
| William Ramsey Moran | Chartered Financial Analyst | DALLAS, TX | 0 | 12 | n/a | no |
| Grace Nicole Butterfield | Certified Financial Planner | DALLAS, TX | 0 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| HFS-SLJ MINERAL PARTNERS IV, LP | Other Private Fund | $27.4M | Aug 12, 2026 | 17 | Mar 25, 2022 | reported | 021-391308 |
| HFS MINERAL PARTNERS V, LP | Other Private Fund | $27.0M | Aug 12, 2026 | 90 | Mar 30, 2023 | reported | 021-450818 |
| HOWARD MORTGAGE PARTICIPATION FUNDLP | Real Estate Fund | $25.2M | Mar 30, 2012 | 99 | Mar 30, 2012 | dropped | 021-50524 |
| HFS-SLJ MINERAL PARTNERS - III | Other Private Fund | $23.9M | Aug 12, 2026 | 96 | Mar 30, 2020 | reported | 021-330091 |
| HFS SF APARTMENTS II, LP | n/a | $17.0M | Aug 12, 2026 | 100 | Aug 12, 2026 | reported | 021-335157 |
| HFS MOCKINGBIRD LP | Real Estate Fund | $16.5M | Dec 5, 2024 | 47 | Mar 31, 2016 | dropped | 021-249577 |
| HFS SMALL BALANCE RE I, LP | n/a | $15.3M | Aug 12, 2026 | 86 | Aug 12, 2026 | reported | 021-529234 |
| HFS RICHARDSON OFFICE, LP | n/a | $13.4M | Aug 12, 2026 | 87 | Aug 12, 2026 | reported | 021-542617 |
| HFS-SLJ MINERAL PARTNERS - II | Other Private Fund | $12.2M | Aug 12, 2026 | 74 | Mar 31, 2018 | reported | 021-292447 |
| HFS WACO APARTMENTS, LP. | n/a | $12.1M | Aug 12, 2026 | 77 | Aug 12, 2026 | reported | 021-563917 |
| HFS MINERAL PARTNERS VI, LP | n/a | $11.5M | Aug 12, 2026 | 93 | Aug 12, 2026 | reported | 021-566364 |
| HFS ORRI FUND 2023, LP | Other Private Fund | $11.4M | Aug 12, 2026 | 88 | Mar 25, 2024 | reported | 021-491143 |
| HFS BXP III, LP | Other Private Fund | $9.9M | Aug 12, 2026 | 54 | Mar 29, 2019 | reported | 021-314075 |
| HFS EMERSON APARTMENTS, LP | Real Estate Fund | $8.3M | May 30, 2018 | 73 | Mar 31, 2016 | dropped | 021-253645 |
| HFS SF APARTMENTS, LP | Real Estate Fund | $6.7M | Jan 28, 2022 | 61 | Mar 30, 2020 | dropped | 021-335157 |
| HFS HOUSTON SENIORS IL, LP | Real Estate Fund | $6.7M | Aug 12, 2026 | 71 | Mar 31, 2021 | reported | 021-360065 |
| HMPF 2015, LP | Real Estate Fund | $5.8M | Sep 29, 2017 | 41 | Mar 30, 2015 | dropped | 021-240219 |
| HMPF 2010-I FUND, LP | Real Estate Fund | $5.3M | Oct 23, 2014 | 34 | Mar 30, 2012 | dropped | 021-162097 |
| HFS ID FUND LP | Hedge Fund | $5.0M | Aug 12, 2026 | 1 | Oct 23, 2012 | reported | n/a |
| HFS LAKEHILLS PLAZA, LP | Real Estate Fund | $5.0M | Jun 20, 2019 | 52 | Feb 13, 2017 | dropped | 021-275944 |
| HFS ARBOR RIDGE, LP | Real Estate Fund | $4.6M | May 29, 2015 | 35 | Dec 5, 2013 | dropped | 021-197713 |
| HFS HAMPTON ROAD, LP | Real Estate Fund | $4.4M | Aug 12, 2026 | 30 | Mar 30, 2020 | reported | 021-342247 |
| HFS NLA OCEANSIDE, LP | Real Estate Fund | $4.3M | Aug 12, 2026 | 42 | Mar 30, 2020 | reported | 021-346961 |
| HFS ROYCE CITY LAND, LP | Real Estate Fund | $4.3M | Aug 12, 2026 | 34 | Mar 30, 2023 | reported | 021-451816 |
| HFS-SLJ MINERAL PARTNERS - I | Other Private Fund | $4.2M | Aug 12, 2026 | 74 | Mar 31, 2018 | reported | 021-284725 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHILDS, DEREK, DANIEL | DIRECTOR OF WEALTH MANAGEMENT | Na | yes | 05/2009 | Aug 12, 2026 | Aug 12, 2026 |
| HORTON, RANDALL, WYATT | DIRECTOR OF PUBLIC INVESTMENTS | Na | yes | 04/2013 | Aug 12, 2026 | Aug 12, 2026 |
| HOWARD, JAMES, N | Chairman | Na | yes | 01/1994 | Aug 12, 2026 | Aug 12, 2026 |
| HOWARD, JOHN, T | MANAGING DIRECTOR | Na | yes | 04/2004 | Aug 12, 2026 | Aug 12, 2026 |
| HOWARD, STEPHEN, JAMES | DIRECTOR OF PRIVATE INVESTMENTS | Na | yes | 10/2011 | Aug 12, 2026 | Aug 12, 2026 |
| POST, ROBERT, JASON | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2026 | Aug 12, 2026 | Aug 12, 2026 |
| Smiley, Lisa | DIRECTOR OF FUND OPERATIONS | Na | yes | 03/2001 | Aug 12, 2026 | Aug 12, 2026 |
| THE JAMES 1991 IRREVOCABLE TRUST, | LIMITED PARTNER | C | yes | 04/2004 | Aug 12, 2026 | Aug 12, 2026 |
| DOWLING, SHAUN, MICHAEL | Manager | F | yes | 12/2013 | Mar 13, 2014 | Dec 5, 2024 |
| DOWLING, SHAUN, MICHAEL | DIRECTOR OF FINANCIAL PLANNING | Na | yes | 12/2013 | Mar 13, 2014 | Dec 5, 2024 |
| HODGES, RACHEL, KAY | Cco | Na | yes | 03/2023 | Mar 25, 2024 | Dec 5, 2024 |
| HOWARD FINANCIAL, INC. | GENERAL PARTNER | Na | yes | 04/2004 | Mar 30, 2012 | Dec 5, 2024 |
| HOWARD, JAMES, N | OWNER/DIRECTOR | E | yes | 04/2004 | Mar 30, 2012 | Dec 5, 2024 |
| HOWARD, JOHN, T | Trustee | E | yes | 04/2004 | Mar 30, 2012 | Dec 5, 2024 |
| HOWARD, STEPHEN, JAMES | Trustee | E | yes | 04/2004 | Mar 30, 2012 | Dec 5, 2024 |
| HUNTING OAK INVESTMENTS, LLC | LIMITED PARTNER | A | yes | 12/2013 | Mar 13, 2014 | Dec 5, 2024 |
| THE HUNTINGWICK IRREVOCABLE TRUST | Member | D | yes | 12/2013 | Mar 13, 2014 | Dec 5, 2024 |
| THE JAMES 1991 IRREVOCABLE TRUST, STEPHEN HOWARD, TRUSTEE | LIMITED PARTNER | C | yes | 04/2004 | Mar 13, 2014 | Dec 5, 2024 |
| THE KNOBOAK HERITAGE TRUST | Member | D | yes | 12/2013 | Mar 13, 2014 | Dec 5, 2024 |
| THE THOMAS 1991 IRREVOCABLE TRUST, JOHN HOWARD, TRUSTEE | LIMITED PARTNER | C | yes | 04/2004 | Mar 13, 2014 | Dec 5, 2024 |
| APACHE ACQUISITIONS, LTD. | LIMITED PARTNER | B | no | 05/2009 | Aug 12, 2026 | Aug 12, 2026 |
| FOUNTAINHEAD WEALTH, LP | LIMITED PARTNER | B | no | 04/2013 | Aug 12, 2026 | Aug 12, 2026 |
| GV LIMESTONE, LP | LIMITED PARTNER | A | no | 01/2013 | Aug 12, 2026 | Aug 12, 2026 |
| LISA SMILEY P.C. | LIMITED PARTNER | B | no | 03/2001 | Aug 12, 2026 | Aug 12, 2026 |
| CHILDS, DEREK, DANIEL | Member | E | no | 12/2020 | Mar 25, 2024 | Dec 5, 2024 |
| LISA SMILEY REVOCABLE TRUST | Shareholder | E | no | 12/2022 | Mar 25, 2024 | Dec 5, 2024 |
| Smiley, Lisa | Trustee | F | no | 12/2022 | Mar 25, 2024 | Dec 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HFFM, INC. | n/a | n/a | n/a | N | yes | n/a |
| PECAN CREEK ENERGY, LP | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.4B | $1.4B | 24 | 18 | 0 | 31 | n/a |
| 2024 | Mar 31, 2025 | $1.4B | $1.4B | 24 | 19 | 0 | 34 | n/a |
| 2023 | Mar 25, 2024 | $1.3B | $1.3B | 23 | 18 | 0 | 33 | $205M |
| 2022 | Mar 30, 2023 | $989M | $980M | 22 | 16 | 0 | 41 | $160M |
| 2021 | Mar 25, 2022 | $938M | $928M | 18 | 17 | 0 | 37 | $171M |
| 2020 | Mar 31, 2021 | $763M | $746M | 18 | 17 | 0 | 41 | $171M |
| 2019 | Mar 30, 2020 | $701M | $645M | 18 | 16 | 0 | 43 | $159M |
| 2018 | Mar 29, 2019 | $625M | $624M | 16 | 13 | 1 | 43 | $138M |
| 2017 | Mar 31, 2018 | $666M | $615M | 13 | 13 | 1 | 44 | $152M |
| 2016 | Feb 13, 2017 | $881M | $540M | 14 | 13 | n/a | 47 | $148M |
| 2015 | Mar 31, 2016 | $791M | $461M | 12 | 11 | n/a | 44 | $150M |
| 2014 | Mar 30, 2015 | $808M | $454M | 12 | 11 | n/a | 42 | $163M |
| 2013 | Mar 13, 2014 | $790M | $514M | 12 | 11 | n/a | 38 | $203M |
| 2012 | Mar 26, 2013 | $743M | $474M | 10 | 9 | n/a | 33 | $195M |
| 2011 | Mar 30, 2012 | $786M | $491M | n/a | n/a | n/a | 28 | $213M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 6.7% | 0 | 1 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $1.4B | -1.5% | $989M | 12.3% | 24 | 24 | 0 | 0 |