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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A•••••• W••••• A•••••••• I•••

CRD 155768

HOUSTON, TX

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Search this name across graphsid dfx:ria:f75a6194-01ed-58ab-3ca3-c61125284f8e

Data as of Mar 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Mar 28, 2017
12 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: $3.6BItem 5.F on the latest filing (2017-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $74.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• J••••	Director	C	yes	02/2016	Apr 4, 2016	Mar 28, 2017
C••••••• B••••	Director	F	yes	02/2016	Mar 30, 2016

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$3.6B	$3.1B	15.6%	$1.9B	23.1%	9	7	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••• C•••••• F••••••••	2	Jan 5, 2018	Jan 24, 2018	HOUSTON, TX	Team lift out	Other	100.0%
P•••• C•••••• F••••••••	3	Dec 15, 2017

Relationships

Controls (14)

← M••••• R•••••• A•••••OwnerCHIEF COMPLIANCE OFFICER, PRESIDENT, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← R•••••• J•••• C•••••••••OwnerDIRECTOR, ownership code F, individual
Mar 30, 2016 to presentfactForm ADV
← M•• K•••••OwnerTREASURER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← D••••••• K••••••OwnerDIRECTOR, ownership code F, individual
Mar 30, 2016 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f75a6194-01ed-58ab-3ca3-c61125284f8e
First observed: Nov 7, 2011
Last observed: Mar 28, 2017 115 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.