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 110269
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 |
|---|---|---|---|---|---|---|
| G•••••• A•••• R••• | n/a | Houston, TX | HOUSTON, TX | DALLAS, TX | 11 | 34 | 7 | yes |
| D•••• I• F••••••• | n/a | DALLAS, TX | 7 | 21 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••• B••••• O•••••• | PRESIDENT AND CEO, DIRECTOR | Na | yes | 01/2006 | Mar 29, 2012 | Apr 24, 2024 |
| E••••••• J••• | SENIOR VICE PRESIDENT, HEAD OF LEGAL, CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 31, 2023 | Apr 24, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| W••••••• A•••••••• L•••• | n/a | Mixed wealth | $750M | N | yes | n/a |
| B•••••••• A•••• M••••••••• L•• | n/a | Asset manager | $238M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Houston | TX | United States | 12 | yes |
| OAK BROOK | IL | United States | 3 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 7.7% | 1 | 1 | 0 | 5 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $12B | $13B | -2.7% | $12B | 2.2% | 95 | 103 | 2 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• C•••••• A•••••••• L•• | 8 | Nov 21, 2022 | May 1, 2023 | HOUSTON, TX | Firm absorbed | Other | 80.0% |
| yes |
| W•••••• J• H••••• | n/a | DALLAS, TX | 6 | 31 | 2 | yes |
| A••••• J••• A•••• | n/a | DALLAS, TX | HOUSTON, TX | 3 | 22 | 3 | yes |
| D•• H••• H•••• | Chartered Financial Analyst | HOUSTON, TX | DALLAS, TX | 3 | 16 | 2 | yes |
| F•••• T••••••• G•••••• | Chartered Financial Analyst | DALLAS, TX | HOUSTON, TX | 3 | 24 | 2 | yes |
| B•••••• S••••• E•••• | n/a | WESTPORT, CT | DALLAS, TX | 3 | 20 | 5 | yes |
| P•••• K••••••••• S••••••• | Chartered Financial Analyst | DALLAS, TX | HOUSTON, TX | 3 | 21 | 1 | yes |
| M•••••• R••••• G••••••• | n/a | HOUSTON, TX | DALLAS, TX | 3 | 14 | 2 | yes |
| M•••••• C••• B•••• | n/a | DALLAS, TX | Crown Point, IN | 2 | 20 | 3 | yes |
| C••••••••• J•••• D•••• | n/a | DALLAS, TX | Newtown, PA | 2 | 32 | 2 | yes |
| J•••• L•• S••••• | n/a | Blaine, MN | DALLAS, TX | 0 | 14 | 2 | yes |
| A•••• W•••••• M•••••• | n/a | Saint Paul, MN | DALLAS, TX | 0 | 14 | 1 | yes |
| F•••••• M••••• |
| SVP, CHIEF FINANCIAL OFFICER, TREASURER |
| Na |
| yes |
| 11/2018 |
| Mar 30, 2019 |
| Apr 24, 2024 |
| G••••• F••••• | CHIEF OPERATING OFFICER | Na | yes | 02/2018 | Mar 30, 2018 | Apr 24, 2024 |
| M••••••••• S••••• B•••• | CHAIRMAN AND DIRECTOR | Na | yes | 02/1983 | Mar 29, 2012 | Apr 24, 2024 |
| W••••••• H••••••• G••••• I••• | Owner | E | yes | 12/2001 | Mar 29, 2012 | Apr 24, 2024 |
| S•••••• A•••••••• L••• | n/a | Asset manager | $61.8M | N | yes | n/a |
| S•••••• C•••••• L••• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• Z•••••• I••• G•• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• Z•••••• I••• G•• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••• Z•••••• I••• G•• L•• | n/a | n/a | n/a | N | yes | n/a |
| W••••••• T•••• | n/a | n/a | n/a | N | yes | TX |
| W•• P• H•••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| Mar 31, 2026 |
| $12B |
| $12B |
| 95 |
| 68 |
| 2 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $13B | $13B | 103 | 76 | 3 | n/a | n/a |
| 2023 | Mar 29, 2024 | $12B | $12B | 98 | 68 | 2 | n/a | n/a |
| 2022 | Mar 31, 2023 | $12B | $12B | 105 | 70 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $11B | $11B | 76 | 42 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $9.4B | $9.4B | 82 | 50 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $11B | $11B | 117 | 46 | 2 | n/a | n/a |
| 2018 | Mar 30, 2019 | $13B | $13B | 129 | 42 | 3 | n/a | n/a |
| 2017 | Mar 30, 2018 | $19B | $19B | 131 | 44 | 3 | n/a | n/a |
| 2016 | Mar 31, 2017 | $17B | $17B | 108 | 34 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $16B | $16B | 102 | 40 | n/a | n/a | n/a |
| 2014 | Mar 5, 2015 | $19B | $19B | 97 | 30 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $18B | $17B | 75 | 26 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $13B | $13B | 58 | 23 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $12B | $12B | n/a | n/a | n/a | n/a | n/a |