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

Amegy Investments, Inc.

Former SEC-registered adviserHouston, TexasCRD 120145SEC 801-61121IAPD
Latest filing Aug 19, 2015
First filing on the tape Dec 5, 2011 · 11 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
36
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2015
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)31 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)36 as of Mar 31, 2015
Apr 1, 201334 then
Private funds: no history
RAUM +108% over the last fiscal year+22% a year over threeIARs 30 to 31
Practice profile
derived from the filing of Aug 19, 2015; every figure names its basis
RAUM per advisor
$63.4MderivedRAUM 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
$10.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
7.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+108%derivedbetween the last two annual amendments
Advisor growth, one year
+3.3%derivedItem 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, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
186reported
Financial planning clients
0reported
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
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Scott Edward Chapa · Director / Senior Vice Presidentcontrol
      since 01/2015 · owns less than 5%
    • Stephen Gerard Hines · President / Director / Rosfp / Mpcontrol
      since 07/2015 · owns less than 5%
    • Robert Francis Jennings · Director/Senior Vice Presidentcontrol
      since 07/2011 · owns less than 5%
    • Terry Lynn Knell · Vice President & Chief Compliance Officer - Broker Dealer & Investment Advisory Servicescontrol
      since 07/2014 · owns less than 5%
    • Jane Jia Ouyang · Director/Svp/Chief Operations Officer/Cfo/Finopcontrol
      since 02/2005 · owns less than 5%
    • Rosalie Janise Paul · Asst. Vice President, Compliance Officer - Insurance Activitiescontrol
      since 03/2012 · owns less than 5%
    • Blanca Ramirez · Vice President, Secretary To The Boardcontrol
      since 01/2012 · owns less than 5%
    • Robert Andrews Shelton · Director / Senior Vice Presidentcontrol
      since 01/2015 · owns less than 5%
    • John Timothy Jr Snider · Directorcontrol
      since 03/2015 · owns less than 5%
    • Karen Dillard · Assistant Secretary
      since 01/2010 · owns less than 5%
    • Valerie Layne Newman · Vice President
      since 01/2015 · owns less than 5%
    • Thomas Jay Press · Executive Vice President & General Counsel
      since 01/2011 · owns less than 5%
    Entity owners
    • Amegy Bank National Association · Owner
      direct · owns 75% or more
    • Amegy Corporation · Owner
      indirect · owns 75% or more of Amegy Bank National Association
    • Zions Bancorporation · Owner
      indirect · owns 75% or more of Amegy Corporation · public reporting company
    Related persons
    Schedule D 7.A
    • Amegy Bank, Na
      y
    • Amegy Insurance Agency, Inc.
      real estaten
    • California Bank & Trust
      n
    • Commerce Bank Of Washington
      n
    • National Bank Of Arizona
      n
    • Nevada State Bank
      n
    • Vectra Bank Of Colorado
      n
    • Zions Capital Advisors, Inc.
      investment advisernRAUM $831M
    • Zions Direct, Inc.
      broker-dealerreal estaten
    • Zions First National Bank
      n
    • Zions Insurance Agency, Inc.
      real estaten
    • Zions Trust, National Association
      n
    Offices
    Schedule D 1.F, the 25 largest
    • Dallas, TX
    • San Antonio, TX
    • The Woodlands, TX
    What changed
    consecutive filings, newest first
    • BD registered reps · 33 to 35
      Mar 6, 2015 to Mar 31, 2015
    • Employees · 34 to 36
      Mar 6, 2015 to Mar 31, 2015
    • Insurance-licensed employees · 1 to 0
      Mar 6, 2015 to Mar 31, 2015
    • State-registered IARs · 30 to 31
      Mar 6, 2015 to Mar 31, 2015
    • Accounts · 105 to 186
      Jul 23, 2014 to Jan 28, 2015
    • Non-discretionary RAUM · $945M to $2.0B
      Jul 23, 2014 to Jan 28, 2015
    • RAUM · $945M to $2.0B
      Jul 23, 2014 to Jan 28, 2015
    • Accounts · 112 to 105
      Apr 1, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $1.4B to $945M
      Apr 1, 2013 to Mar 31, 2014
    • RAUM · $1.4B to $945M
      Apr 1, 2013 to Mar 31, 2014
    • State-registered IARs · 0 to 30
      Apr 18, 2012 to Apr 1, 2013
    • Accounts · 118 to 112
      Apr 18, 2012 to Apr 1, 2013
    • Advisory employees · unset to 17.0
      Apr 18, 2012 to Apr 1, 2013
    • BD registered reps · unset to 33.0
      Apr 18, 2012 to Apr 1, 2013
    • Employees · unset to 34.0
      Apr 18, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $1.1B to $1.4B
      Apr 18, 2012 to Apr 1, 2013
    • RAUM · $1.1B to $1.4B
      Apr 18, 2012 to Apr 1, 2013
    • Accounts · 136 to 118
      Dec 5, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 1.0
      Dec 5, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $421M to $1.1B
      Dec 5, 2011 to Mar 30, 2012
    • RAUM · $421M to $1.1B
      Dec 5, 2011 to Mar 30, 2012
    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