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

INTERCONTINENTAL WEALTH ADVISORS, LLC

CRD 114787

SAN ANTONIO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ffbdcfca-f118-15a5-b4ea-5a41cada1c4c

Data as of Aug 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 29
On other graphs: 1
Observed: Mar 30, 2012 to Aug 2, 2023
33 observations

Across DFX

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

Private Equityidentity

Intercontinental Wealth Advisors, LLC

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: $1.5BItem 5.F on the latest filing (2023-08-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $650MderivedItem 5.D individuals plus high net worth individuals
Private client share: 42%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 23
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,679
Individual clients: 410
High net worth clients: 119
Custody, client assets: $594M
SEC number: 801-66430
CRD: 114787
Filings on the tape: 33
First filed: Mar 30, 2012
Latest filed: Aug 2, 2023
Organised: Limited Liability Company, Texas

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
AKINS, SCOTT, WILLIAM	SEINOR VICEPRESIDENT ANDGENERAL COUNSEL	Na	yes	07/2023	Jul 31, 2023	Aug 2, 2023
CI FINANCIAL CORP.	Owner	E	yes	11/2019	Jul 31, 2023	Aug 2, 2023
CORIENT HOLDINGS INC	Owner	F	yes	02/2023	Jul 31, 2023	Aug 2, 2023
CORIENT PARTNERS LLC	Owner	F	yes	01/2022	Jul 31, 2023	Aug 2, 2023
CORIENT PRIVATE WEALTH LLC	Owner	E	yes	07/2023	Jul 31, 2023	Aug 2, 2023
Gullan, Leonard, Lawrence Curle	EVP, CHIEFOPERATING OFFICER	Na	yes	07/2023	Jul 31, 2023	Aug 2, 2023
MUNI, AMIT	CHIEF FINANCIALOFFICER	Na	yes	07/2023	Jul 31, 2023	Aug 2, 2023
NAKAMURA, LARRY, TRISTON	VP, CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Jul 31, 2023	Aug 2, 2023
ROSS, JAIME, EMERSON	EXECUTIVE VICEPRESIDENT	Na	yes	07/2023	Jul 31, 2023	Aug 2, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CORIENT PRIVATE WEALTH LLC	n/a	Independent wealth	$165B	Y	yes	n/a
INTERCONTINENTAL AGENCY LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
FORT LAUDERDALE	FL	United States	1	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
2022	Mar 20, 2023	$1.5B	$1.4B	23	23	1	n/a	n/a
2021	Mar 31, 2022	$1.8B	$1.6B	27	25	1	n/a	n/a
2020	Mar 31, 2021	$1.4B	$1.4B	25	25	1	n/a	n/a
2019	Feb 6, 2020	$1.0B	$1.0B	28	28	1	n/a	n/a
2018	Mar 30, 2019	$853M	$853M	20	20	1	n/a	n/a
2017	Mar 30, 2018	$825M	$825M	18	18	1	n/a	n/a
2016	Mar 31, 2017	$764M	$763M	15	14	n/a	n/a	n/a
2015	Mar 30, 2016	$611M	$611M	14	13	n/a	n/a	n/a
2014	Mar 31, 2015	$486M	$486M	12	11	n/a	n/a	n/a
2013	Mar 31, 2014	$435M	$435M	14	13	n/a	n/a	n/a
2012	Apr 1, 2013	$415M	$317M	12	12	n/a	n/a	n/a
2011	Mar 30, 2012	$348M	$262M	n/a	n/a	n/a	n/a	n/a

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
2022	$1.5B	$1.8B	-12.4%	$1.0B	15.0%	23	27	1	1

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
Corient	13	Aug 2, 2023	Aug 1, 2023	SAN ANTONIO, TX	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (9)

← NAKAMURA, LARRY, TRISTONOwnerVP, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 31, 2023 to presentfactForm ADV
← AKINS, SCOTT, WILLIAMOwnerSEINOR VICEPRESIDENT ANDGENERAL COUNSEL, ownership code NA, individual
Jul 31, 2023 to presentfactForm ADV
← MUNI, AMITOwnerCHIEF FINANCIALOFFICER, ownership code NA, individual
Jul 31, 2023 to presentfactForm ADV
← ROSS, JAIME, EMERSONOwnerEXECUTIVE VICEPRESIDENT, ownership code NA, individual
Jul 31, 2023 to presentfactForm ADV
← Gullan, Leonard, Lawrence CurleOwnerEVP, CHIEFOPERATING OFFICER, ownership code NA, individual
Jul 31, 2023 to presentfactForm ADV
← CI FINANCIAL CORP.OwnerOWNER, ownership code E, foreign entity
Jul 31, 2023 to presentfactForm ADV
← CORIENT HOLDINGS INCOwnerOWNER, ownership code F, domestic entity
Jul 31, 2023 to presentfactForm ADV
← CORIENT PARTNERS LLCOwnerOWNER, ownership code F, domestic entity
Jul 31, 2023 to presentfactForm ADV
← CORIENT PRIVATE WEALTH LLCOwnerOWNER, ownership code E, domestic entity
Jul 31, 2023 to presentfactForm ADV

Registered with (17)

← JOHN LEO KAUTHAdvisorregistration: previous registration
Mar 18, 2003 to Aug 2, 2023factForm ADV
← JOHN MAURICE HENNESSYAdvisorregistration: previous registration
Feb 20, 2007 to Aug 2, 2023factForm ADV
← ISIDORO KORNGOLDAdvisorregistration: previous registration
Mar 18, 2003 to Aug 2, 2023factForm ADV
← ALFREDO LAROSAAdvisorregistration: previous registration
Mar 18, 2003 to Aug 2, 2023factForm ADV
← KENNETH MARCK KORNGOLDAdvisorregistration: previous registration
Mar 13, 2009 to Aug 2, 2023factForm ADV
← HOWARD HEARN LUTZAdvisorregistration: previous registration
May 23, 2018 to Aug 2, 2023factForm ADV
← JERRY OROSCO OROSCOAdvisorregistration: previous registration
Aug 30, 2018 to Aug 2, 2023factForm ADV
← CHARLES DAY LUTZAdvisorregistration: previous registration
Mar 4, 2013 to Aug 2, 2023factForm ADV
← FERNANDA NOVAESAdvisorregistration: previous registration
Jun 3, 2013 to Aug 2, 2023factForm ADV
← ADRIAN DEVOTOAdvisorregistration: previous registration
Mar 14, 2016 to Aug 2, 2023factForm ADV
← PABLO SOTOMAYORAdvisorregistration: previous registration
Oct 22, 2018 to Aug 2, 2023factForm ADV
← NESTOR HERNANDEZ RIVERAAdvisorregistration: previous registration
Jun 21, 2016 to Aug 2, 2023factForm ADV
← SaVion L HarrisAdvisorregistration: previous registration
Aug 4, 2021 to Aug 2, 2023factForm ADV
← DAVID K ALVAREZAdvisorregistration: previous registration
Dec 1, 2015 to Aug 21, 2019factForm ADV
← JAIME ALBERTO CHAVEZ LLERENASAdvisorregistration: previous registration
May 27, 2015 to Aug 18, 2017factForm ADV
← ROGER HARLAN ETHAdvisorregistration: previous registration
Mar 13, 2009 to Jul 24, 2012factForm ADV
← VICTOR JOFFEAdvisorregistration: previous registration
Mar 18, 2003 to Mar 6, 2006factForm ADV

Moved with (1)

→ CORIENTRegistered adviser13 advisors, firm absorbed, same day
Aug 2, 2023 to Aug 1, 2023factForm ADV

Dated events

Occurred
Aug 2, 2023
Firm absorbed
Intercontinental Wealth Advisors, LLC's advisors moved to Corient (San Antonio, TX): 13 of 13 registered, on the same day
Form ADVobserved 5 days ago
13 advisors
Occurred
Aug 2, 2023
Advisor changed firm
Nestor Hernandez Rivera left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Jerry Orosco Orosco left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Kenneth Marck Korngold left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Charles Day Lutz left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
John Maurice Hennessy left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Isidoro Korngold left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Howard Hearn Lutz left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Pablo Sotomayor left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Savion L Harris left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Alfredo Larosa left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Adrian Devoto left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
Fernanda Novaes left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
John Leo Kauth left Intercontinental Wealth Advisors, Llc for Corient (registered 2023-08-01)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Leo John Kauth (Ceo) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Isidoro Korngold (Chairman Of The Board) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Day Charles Lutz (President) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Alfredo Larosa (Executive Vice President) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Marck Kenneth Korngold (Vice President) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person left
Marissa Oyervides (Chief Compliance Officer, Vice President Of Operations) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2023-07-06, absent 2023-07-31)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person joined
Emerson Jaime Ross (Executive Vicepresident) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person joined
William Scott Akins (Seinor Vicepresident Andgeneral Counsel) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person joined
Amit Muni (Chief Financialofficer) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person joined
Lawrence Curle Leonard Gullan (Evp, Chiefoperating Officer) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Control person joined
Triston Larry Nakamura (Vp, Chief Compliance Officer) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Intercontinental Wealth Advisors, Llc reported RAUM $1.8B, up 28% from $1.4B (2021-11-29 to 2022-03-31)
Form ADVobserved 5 days ago
$387M
Occurred
Nov 29, 2021
Control person left
Lee David Hunt (Chief Compliance Officer) no longer on Schedule A of Intercontinental Wealth Advisors, Llc (listed 2021-07-30, absent 2021-11-29)
Form ADVobserved 5 days ago
Occurred
May 25, 2021
Control person joined
Lee David Hunt (Chief Compliance Officer) appeared on Schedule A of Intercontinental Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Intercontinental Wealth Advisors, Llc reported RAUM $1.4B, up 35% from $1.0B (2021-01-13 to 2021-03-31)
Form ADVobserved 5 days ago
$357M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffbdcfca-f118-15a5-b4ea-5a41cada1c4c
First observed: Mar 30, 2012
Last observed: Aug 2, 2023 38 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.

INTERCONTINENTAL WEALTH ADVISORS, LLC

CRD 114787

SAN ANTONIO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ffbdcfca-f118-15a5-b4ea-5a41cada1c4c

Data as of Aug 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AKINS, SCOTT, WILLIAM

SEINOR VICEPRESIDENT ANDGENERAL COUNSEL

yes

07/2023

Jul 31, 2023

Aug 2, 2023

CI FINANCIAL CORP.

Owner

yes

11/2019

Jul 31, 2023

Aug 2, 2023

CORIENT HOLDINGS INC

Owner

yes

02/2023

Jul 31, 2023

Aug 2, 2023

CORIENT PARTNERS LLC

Owner

yes

01/2022

Jul 31, 2023

Aug 2, 2023

CORIENT PRIVATE WEALTH LLC

Owner

yes

07/2023

Jul 31, 2023

Aug 2, 2023

Gullan, Leonard, Lawrence Curle

EVP, CHIEFOPERATING OFFICER

yes

07/2023

Jul 31, 2023

Aug 2, 2023

MUNI, AMIT

CHIEF FINANCIALOFFICER

yes

07/2023

Jul 31, 2023

Aug 2, 2023

NAKAMURA, LARRY, TRISTON

VP, CHIEF COMPLIANCE OFFICER

yes

07/2023

Jul 31, 2023

Aug 2, 2023

ROSS, JAIME, EMERSON

EXECUTIVE VICEPRESIDENT

yes

07/2023

Jul 31, 2023

Aug 2, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CORIENT PRIVATE WEALTH LLC

n/a

Independent wealth

$165B

yes

n/a

INTERCONTINENTAL AGENCY LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT LAUDERDALE

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 20, 2023

$1.5B

$1.4B

n/a

2021

Mar 31, 2022

$1.8B

$1.6B

n/a

2020

Mar 31, 2021

$1.4B

n/a

2019

Feb 6, 2020

$1.0B

n/a

2018

Mar 30, 2019

$853M

n/a

2017

Mar 30, 2018

$825M

n/a

2016

Mar 31, 2017

$764M

$763M

n/a

2015

Mar 30, 2016

$611M

n/a

2014

Mar 31, 2015

$486M

n/a

2013

Mar 31, 2014

$435M

n/a

2012

Apr 1, 2013

$415M

$317M

n/a

2011

Mar 30, 2012

$348M

$262M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$1.5B

$1.8B

-12.4%

$1.0B

15.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Aug 2, 2023

Aug 1, 2023

SAN ANTONIO, TX

Firm absorbed

RIA to RIA

100.0%