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.

Former SEC-registered adviser

Sarofim Advisors Group Inc

Former SEC-registered adviserHouston, TexasCRD 106932SEC 801-45225IAPD
Latest filing Mar 26, 2013
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Mar 26, 2013
Mar 30, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)17 as of Mar 26, 2013
Mar 30, 20120 then
Employees (5.A): 22
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 17
Practice profile
derived from the filing of Mar 26, 2013; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
17.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Shalaby Fayez Sarofim · Chairman Of The Board, Director, Chief Executive Officercontrol
    since 11/1993 · owns less than 5%
  • Gillis Raye White · Director, Executive Vice President, Secretary, Treasurer, Chief Compliance Officercontrol
    since 11/1993 · owns less than 5%
  • Binyon Christopher Sarofim · Shareholdercontrol
    since 12/1995 · owns 75% or more of The Sarofim Group, Inc.
  • Shalaby Fayez Sarofim · Shareholdercontrol
    since 12/1995 · owns 75% or more of The Sarofim Group, Inc.
  • Robert Alan Christensen · Vice President, Chief Operating Officer
    since 09/2010 · owns less than 5%
  • Scott Daniel Crumrine · Vice President, Chief Financial Officer
    since 04/2008 · owns less than 5%
  • M. Robert Hopson · Vice President, Assistant Secretary
    since 12/1998 · owns less than 5%
  • Michael Jeffrey Jacobe · Senior Vice President
    since 09/2010 · owns less than 5%
  • Gentry William Jr. Lee · President
    since 09/2010 · owns less than 5%
  • Binyon Christopher Sarofim · Vice Chairman
    since 10/2009 · owns less than 5%
  • Edmund Charles Sheedy · Senior Vice President
    since 11/1993 · owns less than 5%
  • Bowman Ralph Thomas · Senior Vice President
    since 11/1993 · owns less than 5%
Entity owners
  • Sarofim Fayez & Co · Shareholder
    direct · owns 75% or more
  • The Sarofim Group, Inc. · Shareholder
    indirect · owns 75% or more of Fayez Sarofim & Co.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Employees · unset to 22.0
    Mar 30, 2012 to Mar 26, 2013
  • Insurance-licensed employees · 15 to 17
    Mar 30, 2012 to Mar 26, 2013
  • State-registered IARs · 0 to 17
    Mar 30, 2012 to Mar 26, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026