DFX Intelligence

S•••••• A••••••• G•••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•••••• A••••••• G•••• I••

CRD 106932

HOUSTON, TX

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Search this name across graphsid dfx:ria:e329bca3-f9a8-8345-d71a-68b9e8574bc6

Data as of Mar 26, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2013
2 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 22
Advisory employees: 0
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• F•••• • C•	Shareholder	E	yes	11/1993	Mar 30, 2012	Mar 26, 2013
S••••••• C••••••••• B•••••	Shareholder	E	yes	12/1995	Mar 30, 2012	Mar 26, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• F•••• • C•	n/a	Mixed wealth	$35B	Y	yes	n/a
S•••••• T•••• C•	n/a	Independent wealth	$13B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 26, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$0	$0	n/a	n/a	n/a	22	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ F•••• S•••••• • C••Registered adviserother investment adviser, control, common control
factForm ADV
→ S•••••• T•••• C•Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ S•••••• R••••• A••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ S•••••• I••••••••• M••••••••• C•Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e329bca3-f9a8-8345-d71a-68b9e8574bc6
First observed: Mar 30, 2012
Last observed: Mar 26, 2013 164 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.