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

PARKER FINANCIAL ADVISORS

C.L. PARKER, INC., CRD 114213

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:c857f4fe-8688-4ff6-26f0-e584890e96b7

Data as of Apr 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 27, 2012 to Apr 29, 2019
20 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: $161MItem 5.F on the latest filing (2019-04-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $161M
Private client RAUM: $147MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 294
Individual clients: 26
High net worth clients: 47
Custody, client assets: $10.1M
SEC number: 801-77990
CRD: 114213
Filings on the tape: 20
First filed: Feb 27, 2012
Latest filed: Apr 29, 2019
Organised: Corporation, 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
PARKER, CHARLES, LEE	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/1996	Feb 27, 2012	Apr 29, 2019

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
2018	Mar 15, 2019	$161M	$161M	2	2	0	n/a	n/a
2017	Mar 12, 2018	$168M	$168M	2	2	0	n/a	n/a
2016	Jan 17, 2017	$154M	$154M	2	2	n/a	n/a	n/a
2015	Mar 21, 2016	$140M	$140M	2	2	n/a	n/a	n/a
2014	Mar 12, 2015	$136M	$136M	2	2	n/a	n/a	n/a
2013	Mar 24, 2014	$126M	$126M	2	2	n/a	n/a	n/a
2011	Feb 27, 2012	$79.1M	$79.0M	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
2018	$161M	$168M	-3.6%	$140M	5.0%	2	2	0	0

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
PARKER FINANCIAL ADVISORS LLC	2	Dec 31, 2019	Sep 20, 2019	HOUSTON, TX	Channel change	RIA to new firm	100.0%

Relationships

Controls (1)

← PARKER, CHARLES, LEEOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 27, 2012 to presentfactForm ADV

Registered with (2)

← CHARLES LEE PARKERAdvisorregistration: previous registration
Feb 8, 1996 to Dec 31, 2019factForm ADV
← JOSEPH LEONARD KLINGENAdvisorregistration: previous registration
Apr 7, 2010 to Dec 31, 2019factForm ADV

Moved with (1)

→ PARKER FINANCIAL ADVISORS LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2019 to Sep 20, 2019factForm ADV

Dated events

Occurred
Apr 18, 2013
First Form ADV filing
Parker Financial Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c857f4fe-8688-4ff6-26f0-e584890e96b7
First observed: Feb 27, 2012
Last observed: Apr 29, 2019 90 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.

PARKER FINANCIAL ADVISORS

C.L. PARKER, INC., CRD 114213

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:c857f4fe-8688-4ff6-26f0-e584890e96b7

Data as of Apr 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PARKER, CHARLES, LEE

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/1996

Feb 27, 2012

Apr 29, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 15, 2019

$161M

n/a

2017

Mar 12, 2018

$168M

n/a

2016

Jan 17, 2017

$154M

n/a

2015

Mar 21, 2016

$140M

n/a

2014

Mar 12, 2015

$136M

n/a

2013

Mar 24, 2014

$126M

n/a

2011

Feb 27, 2012

$79.1M

$79.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$161M

$168M

-3.6%

$140M

5.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PARKER FINANCIAL ADVISORS LLC

Dec 31, 2019

Sep 20, 2019

HOUSTON, TX

Channel change

RIA to new firm

100.0%