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CRD 127289
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A••••• T••• G••••••• | Certified Financial Planner | HOUSTON, TX | 22 | 43 | 2 | no |
| D•••• C••••••••• S••••• | n/a | HOUSTON, TX | 11 | 24 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G•••••••• A•••••• T••• | CHIEF COMPLIANCE OFFICER / CHAIRMAN | B | yes | 05/2003 | Apr 29, 2016 | Dec 24, 2024 |
| R•••• K••••• B•••• | CHIEF EXECUTIVE OFFICER | E | yes | 10/2024 | Oct 18, 2024 | Dec 24, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $809M | $562M | 43.9% | $390M | 27.6% | 9 | 8 | 1 | 1 |
| no |
| E•••••••• M• S••• | Certified Financial Planner | HOUSTON, TX | 9 | 22 | 3 | no |
| K•••• B•••• R••• | Certified Financial Planner | HOUSTON, TX | 8 | 16 | 1 | no |
| F•••••••• A••••••• S•••••••• | n/a | HOUSTON, TX | 0 | 10 | 3 | no |
| $809M |
| $780M |
| 9 |
| 4 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 10, 2025 | $562M | $531M | 8 | 4 | 1 | n/a | n/a |
| 2023 | Jan 25, 2024 | $464M | $434M | 8 | 4 | 1 | n/a | n/a |
| 2022 | Mar 10, 2023 | $390M | $378M | 9 | 5 | 7 | n/a | n/a |
| 2021 | Mar 29, 2022 | $364M | $347M | 10 | 6 | 7 | n/a | n/a |
| 2020 | Mar 26, 2021 | $316M | $298M | 10 | 7 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $259M | $244M | 9 | 6 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $207M | $201M | 10 | 6 | 2 | n/a | n/a |
| 2017 | Mar 28, 2018 | $161M | $156M | 8 | 4 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $136M | $134M | 8 | 6 | n/a | n/a | n/a |