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C•••• H••••• F•••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

C•••• H••••• F•••••••• G••••

SPICEWOOD OAKS ADVISORS, INC., CRD 140136

AUSTIN, TX

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Search this name across graphsid dfx:ria:b253807c-1400-370f-922a-3fd8b44a7fe7

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2014 to Mar 29, 2017
9 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: $195MItem 5.F on the latest filing (2017-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $193M
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

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
B•••• A••••• J•••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2015	Mar 30, 2015	Mar 29, 2017
C••••• B•••••• L•••	PRESIDENT/TREASURER/SECRETARY	E	yes	01/2008	Mar 6, 2014

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

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
2016	$195M	$173M	12.7%	n/a	n/a	5	5	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
P•• S••••••• C•••••• M••••••••• L••	4	Mar 31, 2017	Jan 18, 2017	AUSTIN, TX	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← C••••• B•••••• L•••OwnerPRESIDENT/TREASURER/SECRETARY, ownership code E, individual
Mar 6, 2014 to presentfactForm ADV
← B•••• A••••• J•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV

Registered with (5)

← B••••• L••• C••••Advisorregistration: previous registration
Sep 25, 2008 to Mar 31, 2017factForm ADV
← RICHARD LEON H•••••

Dated events

Occurred
Mar 6, 2014
First Form ADV filing
C•••• H••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b253807c-1400-370f-922a-3fd8b44a7fe7
First observed: Mar 6, 2014
Last observed: Mar 29, 2017 115 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.