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CRD 142758
THE WOODLANDS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FRIEBEL, WILLIAM, GERALD | INVESTMENT ADVISOR REPRESENTATIVE & VICE PRESIDENT | C | yes | 03/2017 | Mar 10, 2020 | Mar 12, 2024 |
| PALAFOX, JOSE, ELEAZAR | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | D | yes | 12/2006 | Mar 10, 2020 | Mar 12, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Mar 12, 2024 | $253M | $215M | 3 | 3 | 0 | n/a | n/a |
| 2022 | Mar 22, 2023 | $195M | $159M | 4 | 4 | 0 | n/a | n/a |
| 2021 | Feb 1, 2022 | $198M | $162M | 5 | 5 | 0 | n/a | n/a |
| 2020 | Feb 4, 2021 | $144M | $132M | 3 | 3 | 0 | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $253M | $195M | 29.5% | $144M | 20.5% | 3 | 4 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | 3 | Jul 1, 2024 | Jun 26, 2024 | THE WOODLANDS, TX | Firm absorbed | RIA to RIA | 100.0% |