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CRD 288217
SAN ANTONIO, 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 |
|---|---|---|---|---|---|---|
| G•••••• R••• T••••••• | Certified Financial Planner | SAN ANTONIO, TX | 9 | 25 | 4 | no |
| C••••••• R••• | n/a | SAN ANTONIO, TX | 8 | 28 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••••••• J•••• J••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2019 | Apr 22, 2020 | Dec 12, 2024 |
| T•••••••• G••••••• R••• | MANAGING MEMBER/PRESIDENT/CEO | E | yes | 01/2005 | Apr 22, 2020 | Dec 12, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| G••• T••••••• | n/a | n/a | n/a | Y | yes | n/a |
| S•••• O•• W••••• M••••••••• | n/a | n/a | n/a | Y | yes | n/a |
| 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 | 2 | -1 | 50.0% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $356M | $339M | 5.0% | $266M | 10.1% | 7 | 7 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N•••••• P•••••••• L•• | 2 | Jan 26, 2026 | Jan 14, 2026 | SAN ANTONIO, TX | Team lift out | RIA to new firm | 40.0% |
| no |
| J••• J••••• D••••••• | n/a | SAN ANTONIO, TX | 7 | 35 | 5 | no |
| N••••• J•••• I••••••••• | n/a | SAN ANTONIO, TX | 0 | 10 | 1 | no |
| $356M |
| $356M |
| 7 |
| 4 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 24, 2025 | $339M | $339M | 7 | 6 | 1 | n/a | n/a |
| 2023 | Mar 26, 2024 | $302M | $269M | 8 | 7 | 1 | n/a | n/a |
| 2022 | Mar 21, 2023 | $266M | $226M | 6 | 5 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $250M | $214M | 6 | 4 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $202M | $173M | 6 | 5 | 1 | n/a | n/a |