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CRD 164953
CORPUS CHRISTI, 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 |
|---|---|---|---|---|---|---|
| M•••••• R•• S•••• | n/a | CORPUS CHRISTI, TX | 4 | 25 | 5 | no |
| R••• E••••• H••••• | n/a | Corpus Christi, TX | 4 | 16 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S••••• M••••••• R•• | PRESIDENT - CCO | E | yes | 07/2012 | Jan 23, 2018 | Mar 23, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••••••• G••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CORPUS CHRISTI | TX | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 22, 2022 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $33.4M | $128M | -74.0% | $108M | -32.5% | 4 | 8 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I•••••• W••••• | 2 | Mar 23, 2022 | Jun 18, 2020 | CEDAR PARK, TX | Team lift out | RIA to RIA | 28.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•••• A••••••••• L•• | 3 | Jan 3, 2018 | Jan 19, 2018 | AUSTIN, TX | Team lift out | Other | 42.9% |
| no |
| H••• N• G•••• | n/a | Corpus Christi, TX | 4 | 10 | 1 | no |
| E•••••• C••••• | n/a | Corpus Christi, TX | 4 | 17 | 1 | no |
| J••••••• V••••• | n/a | CORPUS CHRISTI, TX | Kingsland, TX | 2 | 14 | n/a | no |
| M•••••• J• B••••• | n/a | CORPUS CHRISTI, TX | 2 | 20 | 2 | no |
| $33.4M |
| $22.3M |
| 4 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2020 | Mar 15, 2021 | $128M | $17.2M | 8 | 7 | 1 | n/a | n/a |
| 2019 | Feb 13, 2020 | $106M | $106M | 7 | 6 | 1 | n/a | n/a |
| 2018 | Feb 6, 2019 | $108M | $108M | 7 | 6 | 1 | n/a | n/a |