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A• M••••• I••••••••• A•••••••• L•••

Former SEC-registered adviserFormer SEC adviser· Houston, Texaswebsite

Former SEC-registered adviser, based in Houston, Texas, reporting $60.3M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2012-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $60.3M
Advisors: 1
Net advisor flow, 12 months: -1 (0 in, 1 out)
RAUM change, last fiscal year: Not applicable
Private clients: 0.0% of RAUM

Advisors (1)Advisor movement Where the RAUM sits

As of 2012-07-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 109118 · SEC 801-55519 · 4 filingsShow

CRD 109118SEC 801-55519First filing on the tape Mar 24, 2012, latest Jul 16, 2012IAPD

RAUM

$60.3M

reported, Item 5.F

Discretionary

71%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$60.3M

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$60.3M as of Jul 16, 2012

Mar 24, 2012$60.3M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 16, 2012

Mar 24, 20120 then

Employees (5.A): no history

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Jul 16, 2012; every figure names its basis

RAUM per advisor: $60.3MderivedRAUM 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: $410,461derivedRAUM over accounts (5.F.2.f)
Discretionary: 71%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: 1.0derived1 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 assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)

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: 147reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A•• I••• M•••••	Houston, Tx	Jul 24, 2012	43 y	2

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months

Left, latest

R•••••• A••• M••••• to G•••••••• W••••• A••••••• L••
Jan 26, 2026 · Other
R•••••• A••• M••••• to S•••••••• W••••• A•••••••• L••
Jan 13, 2010 · Other

Joined, latest

R•••••• A••• M••••• from S•••••••• W••••• A•••••••• L••
May 9, 2014 · Other
R•••••• A••• M••••• from M••••• S•••••• D• I•••
Apr 6, 2006 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••• A••• I••• · President, Coo & Chief Compliance Officer (01/2005)control
since 10/1995 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
San Antonio, Tx	0	0	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Jan 26, 2026 · Advisor changed firm · fact

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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 23, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $60.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026