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CRD 313466
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Charles Andrew Calderwood | Chartered Financial Consultant | HOUSTON, TX | 5 | 37 | 4 | no |
| Michael Patrick Connelly | n/a | HOUSTON, TX | 1 | 11 | n/a | no |
| Leonard Gerard Saizan | n/a | HOUSTON, TX | 1 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CALDERWOOD, CHARLES ANDREW | Cco | E | yes | 07/2021 | Aug 4, 2021 | Mar 4, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 9, 2026 | $229M | $65.5M | 5 | 3 | 0 | n/a | n/a |
| 2024 | Feb 17, 2025 | $216M | $49.3M | 3 | 3 | 0 | n/a | n/a |
| 2023 | Mar 4, 2024 | $183M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2022 | Feb 15, 2023 | $161M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2021 | Feb 9, 2022 | $204M | $0 | 1 | 1 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $229M | $216M | 5.6% | $161M | 12.3% | 5 | 3 | 0 | 0 |