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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

AMEGY INVESTMENTS, INC.

CRD 120145

HOUSTON, 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:96a61e68-b459-a3e4-20ed-5702b6be0072

Data as of Aug 19, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2011 to Aug 19, 2015
11 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: $2.0BItem 5.F on the latest filing (2015-08-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 36
Advisory employees: 17
Accounts: 186
SEC number: 801-61121
CRD: 120145
Filings on the tape: 11
First filed: Dec 5, 2011
Latest filed: Aug 19, 2015
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
AMEGY BANK NATIONAL ASSOCIATION	Owner	E	yes	02/2002	Dec 5, 2011	Aug 19, 2015
AMEGY CORPORATION	Owner	E	yes	12/2013	Dec 5, 2011	Aug 19, 2015
CHAPA, SCOTT EDWARD	DIRECTOR / SENIOR VICE PRESIDENT	Na	yes	01/2015	Mar 6, 2015	Aug 19, 2015
HINES, STEPHEN GERARD	PRESIDENT / DIRECTOR / ROSFP / MP	Na	yes	07/2015	Mar 6, 2015	Aug 19, 2015
JENNINGS, ROBERT FRANCIS	DIRECTOR/SENIOR VICE PRESIDENT	Na	yes	07/2011	Dec 5, 2011	Aug 19, 2015
KNELL, TERRY LYNN	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES	Na	yes	07/2014	Dec 5, 2011	Aug 19, 2015
OUYANG, JANE JIA	DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP	Na	yes	02/2005	Dec 5, 2011	Aug 19, 2015
PAUL, ROSALIE JANISE	ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES	Na	yes	03/2012	Dec 5, 2011	Aug 19, 2015
RAMIREZ, BLANCA	VICE PRESIDENT, SECRETARY TO THE BOARD	Na	yes	01/2012	Mar 30, 2012	Aug 19, 2015
SHELTON, ROBERT ANDREWS	DIRECTOR / SENIOR VICE PRESIDENT	Na	yes	01/2015	Mar 6, 2015	Aug 19, 2015
SNIDER, JOHN TIMOTHY JR	Director	Na	yes	03/2015	Dec 5, 2011	Aug 19, 2015
ZIONS BANCORPORATION	Owner	E	yes	12/2005	Dec 5, 2011	Aug 19, 2015
DILLARD, KAREN	ASSISTANT SECRETARY	Na	no	01/2010	Dec 5, 2011	Aug 19, 2015
NEWMAN, VALERIE LAYNE	VICE PRESIDENT	Na	no	01/2015	Mar 6, 2015	Aug 19, 2015
PRESS, THOMAS JAY	EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL	Na	no	01/2011	Dec 5, 2011	Aug 19, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ZIONS CAPITAL ADVISORS, INC.	n/a	Institutional manager	$831M	N	yes	n/a
AMEGY BANK, NA	n/a	n/a	n/a	Y	yes	n/a
AMEGY INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
CALIFORNIA BANK & TRUST	n/a	n/a	n/a	N	yes	n/a
COMMERCE BANK OF WASHINGTON	n/a	n/a	n/a	N	yes	n/a
NATIONAL BANK OF ARIZONA	n/a	n/a	n/a	N	yes	n/a
NEVADA STATE BANK	n/a	n/a	n/a	N	yes	n/a
VECTRA BANK OF COLORADO	n/a	n/a	n/a	N	yes	n/a
ZIONS DIRECT, INC.	n/a	n/a	n/a	N	yes	n/a
ZIONS FIRST NATIONAL BANK	n/a	n/a	n/a	N	yes	n/a
ZIONS INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
ZIONS TRUST, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Dallas	TX	United States	n/a	no
SAN ANTONIO	TX	United States	n/a	no
THE WOODLANDS	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
2014	Mar 31, 2015	$2.0B	$0	36	17	n/a	n/a	n/a
2013	Mar 31, 2014	$945M	$0	34	17	n/a	n/a	n/a
2012	Apr 1, 2013	$1.4B	$0	34	17	n/a	n/a	n/a
2011	Mar 30, 2012	$1.1B	$0	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
2014	$2.0B	$945M	108.1%	$1.1B	21.7%	36	34	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ZIONS CAPITAL ADVISORS, INC.	4	Dec 31, 2015	Jan 6, 2016	HOUSTON, TX	Team lift out	Other	33.3%
LPL FINANCIAL LLC	5	Dec 31, 2015	Nov 6, 2015	HOUSTON, TX	Team lift out	Other	41.7%

Relationships

Affiliated with (1)

→ ZIONS CAPITAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

← HINES, STEPHEN GERARDOwnerPRESIDENT / DIRECTOR / ROSFP / MP, ownership code NA, individual
Mar 6, 2015 to presentfactForm ADV
← SNIDER, JOHN TIMOTHY JROwnerDIRECTOR, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← KNELL, TERRY LYNNOwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← OUYANG, JANE JIAOwnerDIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← JENNINGS, ROBERT FRANCISOwnerDIRECTOR/SENIOR VICE PRESIDENT, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← PAUL, ROSALIE JANISEOwnerASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← RAMIREZ, BLANCAOwnerVICE PRESIDENT, SECRETARY TO THE BOARD, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SHELTON, ROBERT ANDREWSOwnerDIRECTOR / SENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2015 to presentfactForm ADV
← CHAPA, SCOTT EDWARDOwnerDIRECTOR / SENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2015 to presentfactForm ADV
← AMEGY BANK NATIONAL ASSOCIATIONOwnerOWNER, ownership code E, domestic entity
Dec 5, 2011 to presentfactForm ADV
← AMEGY CORPORATIONOwnerOWNER, ownership code E, domestic entity
Dec 5, 2011 to presentfactForm ADV
← ZIONS BANCORPORATIONOwnerOWNER, ownership code E, domestic entity
Dec 5, 2011 to presentfactForm ADV

Owns (3)

← PRESS, THOMAS JAYOwnerEXECUTIVE VICE PRESIDENT & GENERAL COUNSEL, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV
← NEWMAN, VALERIE LAYNEOwnerVICE PRESIDENT, ownership code NA, individual
Mar 6, 2015 to presentfactForm ADV
← DILLARD, KARENOwnerASSISTANT SECRETARY, ownership code NA, individual
Dec 5, 2011 to presentfactForm ADV

Registered with (25)

← CATHERINE ELIZABETH NOVAKAdvisorregistration: previous registration
Sep 1, 2010 to Apr 7, 2016factForm ADV
← ROBERT FRANCIS JENNINGSAdvisorregistration: previous registration
Feb 10, 2004 to Dec 31, 2015factForm ADV
← Joseph C KleinAdvisorregistration: previous registration
Jun 27, 2012 to Dec 31, 2015factForm ADV
← BLANCA RAMIREZAdvisorregistration: previous registration
Nov 7, 2011 to Dec 31, 2015factForm ADV
← ROBERT ANDREWS SHELTONAdvisorregistration: previous registration
Nov 3, 2014 to Dec 31, 2015factForm ADV
← JOANNA SAMMY-SASIENEAdvisorregistration: previous registration
Jan 8, 2009 to Dec 31, 2015factForm ADV
← ROBERT PAUL MOYESAdvisorregistration: previous registration
Aug 5, 2014 to Dec 31, 2015factForm ADV
← Jarrod Lane HagemanAdvisorregistration: previous registration
Jan 19, 2010 to Dec 31, 2015factForm ADV
← SCOTT EDWARD CHAPAAdvisorregistration: previous registration
Jul 22, 2004 to Dec 31, 2015factForm ADV
← Patrick Randell NorfleetAdvisorregistration: previous registration
Jun 5, 2014 to Dec 31, 2015factForm ADV
← Eryn Shealy MyersAdvisorregistration: previous registration
Jul 29, 2010 to Dec 31, 2015factForm ADV
← JARED ADAM BRENNENAdvisorregistration: previous registration
Apr 30, 2014 to Dec 31, 2015factForm ADV
← Alexander Robert NunoAdvisorregistration: previous registration
Jan 5, 2012 to Aug 18, 2015factForm ADV
← JANICE MARIE POWELLAdvisorregistration: previous registration
Feb 24, 2012 to Jun 23, 2014factForm ADV
← TROY WAYNE TAYLORAdvisorregistration: previous registration
Jan 26, 2004 to Jul 11, 2013factForm ADV
← RICHARD STEVEN SOWELLAdvisorregistration: previous registration
Nov 3, 2004 to Feb 21, 2013factForm ADV
← BRIAN JAMES HAYSAdvisorregistration: previous registration
Aug 13, 2008 to Apr 14, 2011factForm ADV
← JESSE LOGAN DIETZAdvisorregistration: previous registration
Feb 2, 2009 to Apr 14, 2011factForm ADV
← JAMES STEVEN RUSHAdvisorregistration: previous registration
Jan 14, 2009 to May 6, 2009factForm ADV
← Meredith Ruth MooreAdvisorregistration: previous registration
Apr 4, 2008 to Apr 3, 2009factForm ADV
← RILEY EDWARD SALYERAdvisorregistration: previous registration
Nov 13, 2002 to Nov 8, 2006factForm ADV
← SCOTT MICHAEL HOFFERKAMPAdvisorregistration: previous registration
Jan 9, 2004 to Jan 18, 2006factForm ADV
← KEVIN LOUIS CASCARELLIAdvisorregistration: previous registration
Dec 5, 2005 to Jan 6, 2006factForm ADV
← ANTONIO REYNAAdvisorregistration: previous registration
Mar 31, 2005 to Oct 11, 2005factForm ADV
← JAY LEE GOLDBERGAdvisorregistration: previous registration
Jan 7, 2004 to Nov 12, 2004factForm ADV

Moved with (2)

→ ZIONS CAPITAL ADVISORS, INC.Registered adviser4 advisors, team lift out, same day
Dec 31, 2015 to Jan 6, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviser5 advisors, team lift out, same day
Dec 31, 2015 to Nov 6, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96a61e68-b459-a3e4-20ed-5702b6be0072
First observed: Dec 5, 2011
Last observed: Aug 19, 2015 135 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.

AMEGY INVESTMENTS, INC.

CRD 120145

HOUSTON, 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:96a61e68-b459-a3e4-20ed-5702b6be0072

Data as of Aug 19, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMEGY BANK NATIONAL ASSOCIATION

Owner

yes

02/2002

Dec 5, 2011

Aug 19, 2015

AMEGY CORPORATION

Owner

yes

12/2013

Dec 5, 2011

Aug 19, 2015

CHAPA, SCOTT EDWARD

DIRECTOR / SENIOR VICE PRESIDENT

yes

01/2015

Mar 6, 2015

Aug 19, 2015

HINES, STEPHEN GERARD

PRESIDENT / DIRECTOR / ROSFP / MP

yes

07/2015

Mar 6, 2015

Aug 19, 2015

JENNINGS, ROBERT FRANCIS

DIRECTOR/SENIOR VICE PRESIDENT

yes

07/2011

Dec 5, 2011

Aug 19, 2015

KNELL, TERRY LYNN

VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES

yes

07/2014

Dec 5, 2011

Aug 19, 2015

OUYANG, JANE JIA

DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP

yes

02/2005

Dec 5, 2011

Aug 19, 2015

PAUL, ROSALIE JANISE

ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES

yes

03/2012

Dec 5, 2011

Aug 19, 2015

RAMIREZ, BLANCA

VICE PRESIDENT, SECRETARY TO THE BOARD

yes

01/2012

Mar 30, 2012

Aug 19, 2015

SHELTON, ROBERT ANDREWS

DIRECTOR / SENIOR VICE PRESIDENT

yes

01/2015

Mar 6, 2015

Aug 19, 2015

SNIDER, JOHN TIMOTHY JR

Director

yes

03/2015

Dec 5, 2011

Aug 19, 2015

ZIONS BANCORPORATION

Owner

yes

12/2005

Dec 5, 2011

Aug 19, 2015

DILLARD, KAREN

ASSISTANT SECRETARY

01/2010

Dec 5, 2011

Aug 19, 2015

NEWMAN, VALERIE LAYNE

VICE PRESIDENT

01/2015

Mar 6, 2015

Aug 19, 2015

PRESS, THOMAS JAY

EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL

01/2011

Dec 5, 2011

Aug 19, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ZIONS CAPITAL ADVISORS, INC.

n/a

Institutional manager

$831M

yes

n/a

AMEGY BANK, NA

n/a

yes

n/a

AMEGY INSURANCE AGENCY, INC.

n/a

yes

n/a

CALIFORNIA BANK & TRUST

n/a

yes

n/a

COMMERCE BANK OF WASHINGTON

n/a

yes

n/a

NATIONAL BANK OF ARIZONA

n/a

yes

n/a

NEVADA STATE BANK

n/a

yes

n/a

VECTRA BANK OF COLORADO

n/a

yes

n/a

ZIONS DIRECT, INC.

n/a

yes

n/a

ZIONS FIRST NATIONAL BANK

n/a

yes

n/a

ZIONS INSURANCE AGENCY, INC.

n/a

yes

n/a

ZIONS TRUST, NATIONAL ASSOCIATION

n/a

City

State

Country

Employees

Also broker-dealer

Dallas

United States

n/a

SAN ANTONIO

United States

n/a

THE WOODLANDS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$2.0B

n/a

2013

Mar 31, 2014

$945M

n/a

2012

Apr 1, 2013

$1.4B

n/a

2011

Mar 30, 2012

$1.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$2.0B

$945M

108.1%

$1.1B

21.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ZIONS CAPITAL ADVISORS, INC.

Dec 31, 2015

Jan 6, 2016

HOUSTON, TX

Team lift out

Other

33.3%

LPL FINANCIAL LLC

Dec 31, 2015

Nov 6, 2015

HOUSTON, TX

Team lift out

Other

41.7%