DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

MILLER-GREEN FINANCIAL SERVICES LLC

CRD 110949

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:bba26ddd-bc87-aa0a-593d-cbf3c0c6797f

Data as of Oct 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2012 to Oct 24, 2018
30 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: $50.2MItem 5.F on the latest filing (2018-10-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $50.2M
Private client RAUM: $50.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 66
Individual clients: 44
High net worth clients: 22
SEC number: 801-60054
CRD: 110949
Filings on the tape: 30
First filed: Mar 26, 2012
Latest filed: Oct 24, 2018
Organised: Limited Liability Company, 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
BALL, GEORGE, LESTER	Vp	Na	yes	09/2015	Mar 28, 2013	Oct 24, 2018
SHERMAN, ARTHUR, HAAG	MEMBER/MANAGER	D	yes	05/2015	Mar 31, 2017	Oct 24, 2018
SHERMAN, ARTHUR, HAAG	MEMBER/MANAGER	D	yes	05/2015	Mar 31, 2017	Oct 24, 2018
SHERMAN, ARTHUR, HAAG	MANAGING DIRECTOR, ASSOCIATE GENERAL COUNSEL	Na	yes	02/2017	Mar 31, 2017	Oct 24, 2018
TECTONIC HOLDINGS LLC	Member	E	yes	02/2017	Mar 31, 2017	Oct 24, 2018
TECTONIC SERVICES LLC	MANAGING MEMBER	Na	yes	02/2017	May 30, 2017	Oct 24, 2018
HUNT, DAVID, LEE	CHIEF COMPLIANCE OFFICER	Na	no	10/2018	Jun 1, 2016	Oct 24, 2018
LYKOS, THOMAS, JOHN	GENERAL COUNSEL	Na	no	02/2018	Mar 29, 2018	Oct 24, 2018

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
TECTONIC ADVISORS LLC	n/a	Independent wealth	$5.1B	N	yes	n/a
CAIN, WATTERS & ASSOCIATES, LLC	n/a	Independent wealth	$5.0B	N	no	n/a
SANDERS MORRIS HARRIS LLC	n/a	Independent wealth	$576M	Y	no	n/a
HWG INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
PRIVUS FINANCIAL, LLC	n/a	Former SEC adviser	n/a	N	no	n/a
T BANK, NA	n/a	n/a	n/a	N	yes	n/a

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
2017	Mar 29, 2018	$50.2M	$50.2M	6	2	1	n/a	n/a
2016	May 30, 2017	$48.9M	$48.2M	6	2	n/a	n/a	n/a
2015	Mar 30, 2016	$407M	$388M	3	2	n/a	n/a	n/a
2014	Mar 31, 2015	$467M	$440M	3	2	n/a	n/a	n/a
2013	Mar 5, 2014	$504M	$471M	4	3	n/a	n/a	n/a
2012	Mar 28, 2013	$427M	$396M	4	3	n/a	n/a	n/a
2011	Mar 26, 2012	$437M	$410M	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
2017	$50.2M	$48.9M	2.7%	$467M	-52.5%	6	6	1	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	2	Dec 31, 2018	Dec 2, 2025	HOUSTON, TX	Team lift out	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SANDERS MORRIS LLC	2	Dec 3, 2025	Jun 8, 2016	THE WOODLANDS, TX	Team lift out	RIA to RIA	15.4%

Relationships

Affiliated with (5)

→ CAIN, WATTERS & ASSOCIATES, LLCRegistered adviserother investment adviser
factForm ADV
→ TECTONIC ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SANDERS MORRIS LLCRegistered adviserother investment adviser, broker-dealer, control
factForm ADV
→ PRIVUS FINANCIAL, LLCRegistered adviserother investment adviser
factForm ADV
← AHTS ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← BALL, GEORGE, LESTEROwnerVP, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← SHERMAN, ARTHUR, HAAGOwnerMEMBER/MANAGER, ownership code D, individual
Mar 31, 2017 to presentfactForm ADV
← TECTONIC HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV
← TECTONIC SERVICES LLCOwnerMANAGING MEMBER, ownership code NA, domestic entity
May 30, 2017 to presentfactForm ADV

Owns (2)

← LYKOS, THOMAS, JOHNOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← HUNT, DAVID, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 1, 2016 to presentfactForm ADV

Moved with (2)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Dec 2, 2025factForm ADV
← SANDERS MORRIS LLCRegistered adviser2 advisors, team lift out, same day
Dec 3, 2025 to Jun 8, 2016factForm ADV

Registered with (6)

← GEORGE HENRY ARNOLDAdvisorregistration: previous registration
Jun 8, 2016 to Dec 31, 2018factForm ADV
← SUMEET KAUR RAIAdvisorregistration: previous registration
Jun 8, 2016 to Dec 31, 2018factForm ADV
← JEFFREY GLYNN RHAMEAdvisorregistration: previous registration
Jan 24, 2003 to Jun 6, 2016factForm ADV
← BERT EARL MILLERAdvisorregistration: previous registration
Jan 23, 2003 to Apr 10, 2014factForm ADV
← JAMES ALLEN NEUENSCHWANDERAdvisorregistration: previous registration
Jan 23, 2003 to May 18, 2006factForm ADV
← CHRISTOPHER SHAWN RAMSEYAdvisorregistration: previous registration
Jan 21, 2004 to May 18, 2006factForm ADV

Dated events

Occurred
Dec 3, 2025
Team lift-out
2 advisors left Sanders Morris LLC (The Woodlands, TX) for Miller-Green Financial Services LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Oct 1, 2015
Succession filed (Item 4)
Miller-Green Financial Services, Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bba26ddd-bc87-aa0a-593d-cbf3c0c6797f
First observed: Mar 26, 2012
Last observed: Oct 24, 2018 96 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.

MILLER-GREEN FINANCIAL SERVICES LLC

CRD 110949

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:bba26ddd-bc87-aa0a-593d-cbf3c0c6797f

Data as of Oct 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALL, GEORGE, LESTER

yes

09/2015

Mar 28, 2013

Oct 24, 2018

SHERMAN, ARTHUR, HAAG

MEMBER/MANAGER

yes

05/2015

Mar 31, 2017

Oct 24, 2018

SHERMAN, ARTHUR, HAAG

MEMBER/MANAGER

yes

05/2015

Mar 31, 2017

Oct 24, 2018

SHERMAN, ARTHUR, HAAG

MANAGING DIRECTOR, ASSOCIATE GENERAL COUNSEL

yes

02/2017

Mar 31, 2017

Oct 24, 2018

TECTONIC HOLDINGS LLC

Member

yes

02/2017

Mar 31, 2017

Oct 24, 2018

TECTONIC SERVICES LLC

MANAGING MEMBER

yes

02/2017

May 30, 2017

Oct 24, 2018

HUNT, DAVID, LEE

CHIEF COMPLIANCE OFFICER

10/2018

Jun 1, 2016

Oct 24, 2018

LYKOS, THOMAS, JOHN

GENERAL COUNSEL

02/2018

Mar 29, 2018

Oct 24, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TECTONIC ADVISORS LLC

n/a

Independent wealth

$5.1B

yes

n/a

CAIN, WATTERS & ASSOCIATES, LLC

n/a

Independent wealth

$5.0B

n/a

SANDERS MORRIS HARRIS LLC

n/a

Independent wealth

$576M

n/a

HWG INSURANCE AGENCY, INC.

n/a

yes

n/a

PRIVUS FINANCIAL, LLC

n/a

Former SEC adviser

n/a

T BANK, NA

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$50.2M

n/a

2016

May 30, 2017

$48.9M

$48.2M

n/a

2015

Mar 30, 2016

$407M

$388M

n/a

2014

Mar 31, 2015

$467M

$440M

n/a

2013

Mar 5, 2014

$504M

$471M

n/a

2012

Mar 28, 2013

$427M

$396M

n/a

2011

Mar 26, 2012

$437M

$410M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$50.2M

$48.9M

2.7%

$467M

-52.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Dec 31, 2018

Dec 2, 2025

HOUSTON, TX

Team lift out

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SANDERS MORRIS LLC

Dec 3, 2025

Jun 8, 2016

THE WOODLANDS, TX

Team lift out

RIA to RIA

15.4%