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CRD 144200
LUBBOCK, 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 |
|---|---|---|---|---|---|---|
| S•••••• J•••••• C••••••••• | n/a | LUBBOCK, TX | MENTOR, OH | Mentor, OH | 5 | 18 | 1 | no |
| C•••••••• D••• C•••••• | n/a | San Antonio, TX | LUBBOCK, TX | 3 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• M••••••• J•• | PRESIDENT/CCO | E | yes | 05/2007 | Jul 14, 2023 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M• • M• W••••• M••••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| M••• G•••• | n/a | n/a | n/a | N | no | n/a |
| M•••••• B•••• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Albuquerque | Nm | United States | 2 | no |
| Austin | TX | United States | 2 | no |
| Dallas | TX | United States | 2 | no |
| FORT WORTH | TX | United States | 2 | no |
| Houston | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 16, 2026 |
| 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 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $336M | $164M | 104.7% | n/a | n/a | 12 | 3 | 10 | 6 |
| no |
| S••••• M•••••• T••••• | n/a | LUBBOCK, TX | Troy, OH | 0 | 30 | 7 | no |
| Z•••••• D••••••• S•••• | n/a | LUBBOCK, TX | San Antonio, TX | 0 | 10 | n/a | no |
| R•••••• Z• R•••••••• | n/a | LUBBOCK, TX | 0 | 10 | 1 | no |
| E••• J•••• E••••••••• | n/a | LUBBOCK, TX | San Antonio, TX | 0 | 10 | n/a | no |
| n/a |
| Y |
| yes |
| n/a |
| S••• G•••• | n/a | n/a | n/a | N | no | n/a |
| no |
| Mentor | Oh | United States | 1 | no |
| $251M |
| $251M |
| 9 |
| 9 |
| 8 |
| n/a |
| n/a |
| 2024 | Feb 24, 2025 | $164M | $164M | 3 | 3 | 6 | n/a | n/a |
| 2023 | Feb 14, 2024 | n/a | n/a | 3 | 3 | 15 | n/a | n/a |