DFX Intelligence

T•• V••••••• A•••••• L••• I•••••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

T•• V••••••• A•••••• L••• I•••••••• C••••••

CRD 104561

HOUSTON, TX

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Search this name across graphsid dfx:ria:d9c7819d-4bb1-b709-f50e-6762b4da8acd

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Jul 9, 2026
64 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1381.0
Regulatory AUM: $33B••• Locked
Discretionary RAUM: $33B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,700

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• L••• I•••••••• C••••••	100% STOCKHOLDER	E	yes	12/2012	Mar 30, 2012	Sep 11, 2024
C••••••••• F••••••••• I•••	Shareholder	E	yes	04/2012	Mar 31, 2022	Sep 11, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• A•••• M••••••••• L••	n/a	Asset manager	$42B	N	yes	n/a
V•••• F•••••••• A•••••••• I•••	n/a	Bd affiliated wealth	$29B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$33B	$32B	3.6%	$29B	4.8%	1,700	1,800	0	0

Relationships

Affiliated with (4)

→ S••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
← S••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← V•••• F•••••••• A•••••••• I•••Registered adviser

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 9, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jul 9, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Jul 9, 2026
Ria majority owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9c7819d-4bb1-b709-f50e-6762b4da8acd
First observed: Mar 30, 2012
Last observed: Jul 9, 2026 2 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.

Controls (15)

← M••••••• T•••• A•••••OwnerSENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER, ownership code NA, individual
Jul 15, 2019 to Sep 11, 2024factForm ADV
← J••• C••••••••• C••••OwnerINVESTMENT ADVISER CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 29, 2017 to Sep 11, 2024factForm ADV
← F••••••• T••••OwnerDIRECTOR AND PRESIDENT OF GROUP RETIREMENT, ownership code NA, individual
Jun 27, 2019 to Sep 11, 2024factForm ADV
← H•••••• T••••••• M••••••OwnerDIRECTOR, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← N••••• J•••••••OwnerDIRECTOR AND PRESIDENT OF INSTITUTIONAL MARKETS, ownership code NA, individual
Apr 1, 2013 to Sep 11, 2024factForm ADV
← P•••••• B••••OwnerDIRECTOR, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← C••••• R••••• A•••OwnerSENIOR VICE PRESIDENT, G•••••• COUNSEL AND ASSISTANT SECRETARY, ownership code NA, individual
Mar 27, 2020 to Sep 11, 2024factForm ADV
← L••••••• L•••OwnerDIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Apr 14, 2023 to Sep 11, 2024factForm ADV
← F•••••••• C••••••••• P•OwnerDIRECTOR, SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← C••••••• E••••••••• B•OwnerDIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF HUMAN RESOURCES OFFICER, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← S••••• C••••••••• B•OwnerCHAIRMAN OF THE BOARD OF DIRECTORS AND PRESIDENT, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← D••••••• D••••OwnerDIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER, ownership code NA, individual
Mar 29, 2024 to Sep 11, 2024factForm ADV
← A•• L••• I•••••••• C••••••Owner100% STOCKHOLDER, ownership code E, domestic entity
Mar 30, 2012 to Sep 11, 2024factForm ADV
← C••••••••• F••••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 31, 2022 to Sep 11, 2024factForm ADV
← C••••••••• L••• H•••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 11, 2024 to Sep 11, 2024factForm ADV