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H•••••• P•••• O••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

H•••••• P•••• O••••• L••

CRD 44971

CORPUS CHRISTI, TX

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Search this name across graphsid dfx:ria:e5056e9c-70be-ee0b-f958-bb8437f358a8

Data as of Aug 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 2
Observed: Dec 23, 2011 to Aug 21, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

H•••••• P•••• O••••• L••

Intermediary · shared crd

Independent Sponsorsidentity

H•••••• P•••• O•••••• L•••

Intermediary · shared crd

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: $155M••• Locked
Discretionary RAUM: $155M
Private client RAUM: $108Mderived••• Locked
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $77.7Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• E•••••••• A••	MANAGING DIRECTOR/DESIGNATED PRINCIPAL CHIEF COMPLIANCE OFFICER	Na	yes	01/1999	Dec 23, 2011	Aug 15, 2017
D•••••• D•••• J••••	Finop	Na	yes	08/1998	Dec 23, 2011	Aug 15, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••• A•••••••• L••	n/a	Independent wealth	$2.5B	Y	yes	n/a
S••••••••• A•••••••• L••	n/a	Former SEC adviser	$0	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CORPUS CHRISTI	TX	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 23, 2017

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$155M	$55.9M	177.8%	$24.7M	84.6%	3	7	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• A•••••••• L••	3	Apr 23, 2015	Mar 7, 2014	CORPUS CHRISTI, TX	Firm absorbed	Other	60.0%

Relationships

Affiliated with (4)

→ S••••••••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ O•••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← O•••• A•••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← S••••••••• A•••••••• L••Registered adviserother investment adviser, broker-dealer, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5056e9c-70be-ee0b-f958-bb8437f358a8
First observed: Dec 23, 2011
Last observed: Aug 21, 2026 32 days 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.