DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 281410
DALLAS, 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 |
|---|---|---|---|---|---|---|
| D•••••• W•••• G••• | Certified Financial Planner | DALLAS, TX | 10 | 35 | 3 | no |
| R••••• E• E••••• | n/a | DALLAS, TX | Austin, TX | 9 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••••• D••••• M••••• | PRINCIPAL, DIRECTOR OF CAPITAL MARKETS | A | yes | 10/2018 | Apr 1, 2019 | Mar 29, 2024 |
| G••• C•••••• M••••••••• I••• | Member | D | yes | 07/2015 | Sep 4, 2015 | Mar 29, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CORAL GABLES | FL | United States | 2 | yes |
| Rosemont | IL | United States | 2 | no |
| Dallas | TX | United States | 1 | no |
| Plano | TX | United States | 1 | no |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 5 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $417M | $331M | 25.9% | $224M | 23.0% | 22 | 19 | 5 | 5 |
| no |
| H•••••• E•••• B•••• | n/a | Little Rock, AR | 8 | 38 | 2 | no |
| A••••• G••••• | Certified Financial Planner | Coral Gables, FL | 8 | 19 | 2 | yes |
| H••••• J••• D••• | n/a | Coral Gables, FL | 3 | 15 | 3 | no |
| D•••• A•••• C••• | n/a | Plano, TX | DALLAS, TX | 3 | 18 | 2 | no |
| J••••• K••• J•••••• | n/a | Plano, TX | DALLAS, TX | 2 | 17 | n/a | no |
| I•• F•••• | n/a | LAWRENCE, KS | Dallas, TX | Southlake, TX | 2 | 11 | 1 | no |
| M•••••• L•••• | n/a | Coral Gables, FL | 1 | 11 | 1 | yes |
| K••• C••• F••••••••• | n/a | Planoi, TX | DALLAS, TX | 1 | 12 | 5 | no |
| U•••••• P•••• | n/a | DALLAS, TX | CORAL GABLES, FL | 0 | 24 | 4 | yes |
| R••••• W••••• P••••• | n/a | Plano, TX | 0 | 34 | n/a | no |
| A•••• P•••••• H••••• | n/a | Highland, UT | DALLAS, TX | 0 | 13 | 1 | no |
| Shareholder |
| E |
| yes |
| 07/1999 |
| Sep 4, 2015 |
| Mar 29, 2024 |
| G•••• D••••••• W•••• | PRINCIPAL, CHIEF EXECUTIVE OFFICER | Na | yes | 07/2015 | Sep 4, 2015 | Mar 29, 2024 |
| P••••• U•••••• | Principal | B | yes | 09/2015 | Sep 4, 2015 | Mar 29, 2024 |
| 1 |
| no |
| $417M |
| $413M |
| 22 |
| 12 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $331M | $312M | 19 | 13 | 5 | n/a | n/a |
| 2023 | Mar 29, 2024 | $270M | $250M | 18 | 13 | 6 | n/a | n/a |
| 2022 | Mar 31, 2023 | $224M | $196M | 17 | 12 | 5 | n/a | n/a |
| 2021 | Mar 28, 2022 | $467M | $405M | 17 | 13 | 5 | n/a | n/a |
| 2020 | Mar 31, 2021 | $366M | $346M | 17 | 13 | 6 | n/a | n/a |
| 2019 | Apr 3, 2020 | $328M | $309M | 17 | 11 | 6 | n/a | n/a |
| 2018 | Apr 1, 2019 | $269M | $222M | 15 | 10 | 6 | n/a | n/a |
| 2017 | Mar 30, 2018 | $252M | $202M | 10 | 9 | 5 | n/a | n/a |
| 2016 | Mar 30, 2017 | $171M | $150M | 10 | 5 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $110M | $69.8M | 7 | 5 | n/a | n/a | n/a |