DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Fayez Sarofim & Co.
Legal name Fayez Sarofim & Co., LLC
Latest filing May 12, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Jul 16, 1958
RAUM
$35B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
45%
$16B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
54
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$35B as of May 12, 2026
Mar 30, 2012$25B then
HNW client RAUM$14B as of May 12, 2026
Mar 15, 2018$9.6B then
State-registered IARs (5.B.3)18 as of May 12, 2026
Mar 14, 201318 then
Employees (5.A)54 as of May 12, 2026
Mar 14, 201359 then
Private funds: no history
RAUM -0.1% over the last fiscal year+6.6% a year over threeIARs 21 to 18
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
- RAUM per advisor
- $2.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $51.6MderivedHNW RAUM over HNW clients
- Average account
- $11.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$14B40%
- Corporations and businesses$9.0B26%
- Charitable organizations$5.6B16%
- Investment companies$3.3B9.4%
- Individuals$1.7B4.9%
- Pooled investment vehicles$685M2.0%
- Pension and profit-sharing plans$345M1.0%
- Insurance companies$149M0.4%
- State and municipal entities$79.3M0.2%
- Individual clients
- 2,465reported
- HNW clients
- 274reported
- Pension plan clients
- 10reported
- Charitable clients
- 109reported
- Accounts
- 2,997reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.7B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.45 fund_share=0.11 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Raye Gillis WhiteChartered Investment Counselor | Houston, Tx | Jan 1, 1961 | 68 y | 1 |
| Christopher Binyon Sarofim | Houston, Tx | Jun 2, 1997 | 29 y | 1 |
| Catherine Paddock CrainChartered Financial Analyst | Houston, Tx | Jun 27, 1997 | 29 y | 1 |
| Reynaldo (Nmn) RezaChartered Financial Analyst | Houston, Tx | Nov 10, 2000 | 25 y | 1 |
| William Gentry Lee, Jr.Chartered Financial Analyst | Houston, Tx | Nov 10, 2000 | 25 y | 1 |
| Alan Robert ChristensenChartered Financial Analyst | Houston, Tx | Jun 2, 2010 | 16 y | 1 |
| Douglas Kenneth AlderChartered Financial Analyst | Houston, Tx | Jun 3, 2010 | 24 y | 1 |
| Samuel Edward Cody DickChartered Financial Analyst | Houston, Tx | Jun 15, 2010 | 23 y | 1 |
| Anthony John GracelyChartered Financial Analyst | Houston, Tx | Aug 23, 2012 | 21 y | 3 |
| Nicholas Joseph ZdeblickChartered Financial Analyst | Houston, Tx | Sep 11, 2012 | 20 y | 1 |
| David T Searls | Houston, Tx | Sep 18, 2012 | 16 y | 2 |
| Matthew Michael AltenauChartered Financial Analyst | Houston, Tx | Jul 31, 2013 | 16 y | 1 |
| Vernon Scott PerryChartered Financial Analyst | Houston, Tx | Dec 6, 2013 | 24 y | 3 |
| Daniel Patrick ConnallyChartered Financial Analyst | Houston, Tx | Dec 6, 2013 | 20 y | 1 |
| Andrew P ZiccardiChartered Financial Analyst | Houston, Tx | Apr 16, 2021 | 16 y | 0 |
| Hengzhe Joseph LiChartered Financial Analyst | Houston, Tx | Apr 23, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Kenneth Michael Burke to Sarofim Trust CoJun 1, 2018 · Other
- Jeffrey Michael Jacobe to Sarofim Advisors Group IncJan 5, 2016 · Other
- Elizabeth Schulze Robison to Sarofim Trust CoJan 17, 2012 · Other
Joined, latest
- Matthew Michael Altenau from Sarofim Advisors Group IncJul 31, 2013 · Other
- David T Searls from Sarofim Advisors Group IncSep 18, 2012 · Other
- Kenneth Michael Burke from Sarofim Advisors Group IncJun 15, 2010 · Other
- Alan Robert Christensen from Sarofim Advisors Group IncJun 2, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gentry William Jr. Lee · Director, Chief Executive Officer And Chief Investment Officercontrolsince 05/2022 · owns less than 5%
- Binyon Christopher Sarofim · Director And Chairmancontrolsince 05/2022 · owns less than 5%
- Gillis Raye White · Director, Executive Vice President, Secretary And Treasurercontrolsince 08/1958 · owns less than 5%
- Binyon Christopher Sarofim · Trusteecontrolsince 05/2022 · owns 75% or more of Sarofim Sgi Voting Trust
- Robert Alan Christensen · President And Head Of Investment Risksince 11/2015 · owns less than 5%
- (Nmn) John Colucci · Chief Operating Officersince 09/2022 · owns less than 5%
- Lew Michele Gibbons · General Counselsince 09/2021 · owns less than 5%
- David William Hanna · Chief Compliance Officersince 03/2026 · owns less than 5%
- (Nmn) Reynaldo Reza · Senior Vice Presidentsince 08/2015 · owns less than 5%
- Chase Alexander Robison · Chief Financial Officersince 03/2024 · owns less than 5%
- Edmund Charles Sheedy · Senior Vice Presidentsince 10/1986 · owns less than 5%
Entity owners
- The Sarofim Group, LLC · Shareholderdirect · owns 75% or more
- Sarofim Sgi Voting Trust · Eindirect · owns 75% or more of The Sarofim Group, LLC
Related persons
Schedule D 7.A
- Sarofim International Management Coinvestment adviseryRAUM $2.4B
- Sarofim Realty Advisors LLCinvestment adviserpooled vehicle sponsoryRAUM $1.2B
- Sarofim Trust Coinvestment adviseryRAUM $13B
Advisers that list Fayez Sarofim & Co. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 16 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,926 to 2,997Jun 11, 2025 to Mar 20, 2026
- Advisory employees · 23 to 22Jun 11, 2025 to Mar 20, 2026
- Charity clients · 108 to 109Jun 11, 2025 to Mar 20, 2026
- HNW clients · 273 to 274Jun 11, 2025 to Mar 20, 2026
- Individual clients · 2,396 to 2,465Jun 11, 2025 to Mar 20, 2026
- Employees · 53 to 54Jun 11, 2025 to Mar 20, 2026
- Insurance-licensed employees · 16 to 18Jun 11, 2025 to Mar 20, 2026
- State-registered IARs · 21 to 18Jun 11, 2025 to Mar 20, 2026
- Discretionary RAUM · $34B to $35BJun 11, 2025 to Mar 20, 2026
- HNW RAUM · $13B to $14BJun 11, 2025 to Mar 20, 2026
- Individual RAUM · $1.6B to $1.7BJun 11, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $211M to $199MJun 11, 2025 to Mar 20, 2026
- Pension RAUM · $324M to $345MJun 11, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $536M to $685MJun 11, 2025 to Mar 20, 2026
- RAUM · $35B to $35BJun 11, 2025 to Mar 20, 2026
- Wrap assets (manager) · $1.6B to $1.7BJun 11, 2025 to Mar 20, 2026
- Accounts · 2,939 to 2,926Mar 21, 2025 to Jun 11, 2025
- Charity clients · 104 to 108Mar 21, 2025 to Jun 11, 2025
- HNW clients · 290 to 273Mar 21, 2025 to Jun 11, 2025
- Financial planning clients · unset to Mar 21, 2025 to Jun 11, 2025
- Discretionary RAUM · $35B to $34BMar 21, 2025 to Jun 11, 2025
- HNW RAUM · $13B to $13BMar 21, 2025 to Jun 11, 2025
- Individual RAUM · $1.6B to $1.6BMar 21, 2025 to Jun 11, 2025
- Non-discretionary RAUM · $200M to $211MMar 21, 2025 to Jun 11, 2025
- Pension RAUM · $332M to $324MMar 21, 2025 to Jun 11, 2025
- Pooled vehicle RAUM · $541M to $536MMar 21, 2025 to Jun 11, 2025
- RAUM · $35B to $35BMar 21, 2025 to Jun 11, 2025
- Wrap assets (manager) · $1.6B to $1.6BMar 21, 2025 to Jun 11, 2025
- Accounts · 3,056 to 2,939Mar 27, 2024 to Mar 21, 2025
- Charity clients · 99 to 104Mar 27, 2024 to Mar 21, 2025
- Corporate clients · 123 to 129Mar 27, 2024 to Mar 21, 2025
- HNW clients · 281 to 290Mar 27, 2024 to Mar 21, 2025
- Individual clients · 2,535 to 2,396Mar 27, 2024 to Mar 21, 2025
- Pension plan clients · 9 to 10Mar 27, 2024 to Mar 21, 2025
- Employees · 52 to 53Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $31B to $35BMar 27, 2024 to Mar 21, 2025
- HNW RAUM · $12B to $13BMar 27, 2024 to Mar 21, 2025
- Individual RAUM · $1.6B to $1.6BMar 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $235M to $200MMar 27, 2024 to Mar 21, 2025
- Pension RAUM · $322M to $332MMar 27, 2024 to Mar 21, 2025
Signals
2 dated events
- Shalaby Fayez Sarofim (Shareholder) no longer on Schedule A of Fayez Sarofim & Co. (listed 2022-06-01, absent 2022-06-10)Jun 10, 2022 · Control person left · inference
- Fayez Sarofim & Co. reported RAUM $36.6B, up 32% from $27.6B (2021-03-22 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- inquiries@sarofim.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-654-4484reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fayez-sarofim-&-co.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- SAROFIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-654-4484reportedpublic record, Form ADV, May 12, 2026
- Team page
- sarofim.com/leadershipreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026