DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CONCORDE INVESTMENT MANAGEMENT

CONCORDE FINANCIAL CORPORATION, CRD 105237

DALLAS, 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:d4ceb92e-c947-3627-765e-6ea62ef5c8be

Data as of Apr 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Apr 13, 2026
23 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: independent wealth managerderivedprivate_client_share=0.82 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $376MItem 5.F on the latest filing (2026-04-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $286M
Private client RAUM: $309MderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $94.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 378
Individual clients: 50
High net worth clients: 75
SEC number: 801-16625
CRD: 105237
Filings on the tape: 23
First filed: Mar 29, 2012
Latest filed: Apr 13, 2026
Organised: Corporation, TX
Website: concordeco.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
GARY BRENT WOOD	n/a	DALLAS, TX	34	44	1	no
JOHN ARTHUR STETTER	n/a	DALLAS, TX	22	37	n/a	no
GREGORY BRENT WOOD	n/a	DALLAS, TX	12	12	n/a	no
Barbara Elizabeth Spicer	n/a	Dallas, TX	2	12	n/a	no

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
WOOD, GARY, BRENT	MANAGING DIRECTOR AND PRESIDENT	D	yes	10/1981	Mar 29, 2012	Mar 28, 2024
WOOD, GREGORY, BRENT	MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER	C	yes	12/2014	Mar 31, 2015	Mar 28, 2024

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
CONCORDE CAPITAL CORPORATION	n/a	State registered	n/a	N	yes	n/a
OMNIMED CAPITAL LLC	n/a	n/a	n/a	N	yes	n/a
OMNIMED CORPORATION	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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 13, 2026	$376M	$286M	6	3	0	n/a	n/a
2024	Mar 28, 2025	$402M	$328M	5	3	0	n/a	n/a
2023	Mar 28, 2024	$359M	$288M	5	3	0	n/a	n/a
2022	Mar 31, 2023	$341M	$265M	5	3	0	n/a	n/a
2021	Mar 31, 2022	$366M	$278M	5	3	0	n/a	n/a
2020	Mar 31, 2021	$356M	$272M	5	3	0	n/a	n/a
2019	Mar 30, 2020	$198M	$145M	5	3	0	n/a	n/a
2018	Mar 29, 2019	$162M	$114M	5	3	0	n/a	n/a
2017	Mar 30, 2018	$168M	$125M	5	3	0	n/a	n/a
2016	Mar 31, 2017	$160M	$115M	5	4	n/a	n/a	n/a
2015	Mar 30, 2016	$147M	$98.2M	4	4	n/a	n/a	n/a
2014	Mar 31, 2015	$146M	$113M	4	4	n/a	n/a	n/a
2013	Mar 27, 2014	$146M	$116M	3	3	n/a	n/a	n/a
2012	Mar 27, 2013	$130M	$96.4M	3	3	n/a	n/a	n/a
2011	Mar 29, 2012	$127M	$96.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0

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
2025	$376M	$402M	-6.5%	$341M	3.3%	6	5	0	0

Relationships

Affiliated with (1)

→ CONCORDE CAPITAL CORPORATIONRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Registered with (5)

← Barbara Elizabeth SpicerAdvisorregistration: current employment
Jan 1, 2024 to presentfactForm ADV
← GREGORY BRENT WOODAdvisorregistration: current employment
Sep 16, 2014 to presentfactForm ADV
← JOHN ARTHUR STETTERAdvisorregistration: current employment
Jun 18, 2004 to presentfactForm ADV
← GARY BRENT WOODAdvisorregistration: current employment
Mar 31, 1992 to presentfactForm ADV
← Barbara Ann HargerAdvisorregistration: previous registration
Apr 22, 2008 to Feb 19, 2019factForm ADV

Controls (2)

← WOOD, GARY, BRENTOwnerMANAGING DIRECTOR AND PRESIDENT, ownership code D, individual
Mar 29, 2012 to Mar 28, 2024factForm ADV
← WOOD, GREGORY, BRENTOwnerMANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 31, 2015 to Mar 28, 2024factForm ADV

Dated events

Occurred
Nov 30, 2023
Control person left
Arthur John Stetter (Vice President And Director) no longer on Schedule A of Concorde Investment Management (listed 2023-03-31, absent 2023-11-30)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Concorde Investment Management reported RAUM $355.5M, up 80% from $198.0M (2020-06-19 to 2021-03-31)
Form ADVobserved 4 days ago
$157M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4ceb92e-c947-3627-765e-6ea62ef5c8be
First observed: Mar 29, 2012
Last observed: Apr 13, 2026 5 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.

CONCORDE INVESTMENT MANAGEMENT

CONCORDE FINANCIAL CORPORATION, CRD 105237

DALLAS, 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:d4ceb92e-c947-3627-765e-6ea62ef5c8be

Data as of Apr 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

GARY BRENT WOOD

n/a

DALLAS, TX

JOHN ARTHUR STETTER

n/a

DALLAS, TX

n/a

GREGORY BRENT WOOD

n/a

DALLAS, TX

n/a

Barbara Elizabeth Spicer

n/a

Dallas, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WOOD, GARY, BRENT

MANAGING DIRECTOR AND PRESIDENT

yes

10/1981

Mar 29, 2012

Mar 28, 2024

WOOD, GREGORY, BRENT

MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER

yes

12/2014

Mar 31, 2015

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CONCORDE CAPITAL CORPORATION

n/a

State registered

n/a

yes

n/a

OMNIMED CAPITAL LLC

n/a

yes

n/a

OMNIMED CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 13, 2026

$376M

$286M

n/a

2024

Mar 28, 2025

$402M

$328M

n/a

2023

Mar 28, 2024

$359M

$288M

n/a

2022

Mar 31, 2023

$341M

$265M

n/a

2021

Mar 31, 2022

$366M

$278M

n/a

2020

Mar 31, 2021

$356M

$272M

n/a

2019

Mar 30, 2020

$198M

$145M

n/a

2018

Mar 29, 2019

$162M

$114M

n/a

2017

Mar 30, 2018

$168M

$125M

n/a

2016

Mar 31, 2017

$160M

$115M

n/a

2015

Mar 30, 2016

$147M

$98.2M

n/a

2014

Mar 31, 2015

$146M

$113M

n/a

2013

Mar 27, 2014

$146M

$116M

n/a

2012

Mar 27, 2013

$130M

$96.4M

n/a

2011

Mar 29, 2012

$127M

$96.0M

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%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$376M

$402M

-6.5%

$341M

3.3%