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M••• S••••• C•••••• C•••••••••

Former SEC-registered adviserFormer SEC adviser· Houston, Texas

Former SEC-registered adviser, based in Houston, Texas, reporting $1.1B of regulatory assets.

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

Last reported RAUM
$1.1B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+40%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 155467 · SEC 801-71942 · 4 filingsShow
CRD 155467SEC 801-71942First filing on the tape Mar 27, 2012, latest Sep 25, 2013IAPD
RAUM
$1.1B
reported, Item 5.F
Discretionary
98%
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
31
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2013
Mar 27, 2012$755M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Mar 27, 20120 then
Employees (5.A): 31
Private funds: no history
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 25, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$529MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+40%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• M•••••• · Directorcontrol
        since 07/2007 · owns less than 5%
      • B•••••••• J••••• B• · Senior Vice President, General Counsel, Chief Compliance Officer And Secretarycontrol
        since 06/2008 · owns less than 5%
      • C••••• J•••••• E• · Directorcontrol
        since 07/2007 · owns less than 5%
      • F•••••• V••••••• D• · President, Chief Executive Officer And Chairman Of The Boardcontrol
        since 07/2007 · owns less than 5%
      • F•••••• A•••••• L• · Directorcontrol
        since 07/2007 · owns less than 5%
      • G••••••• J••• K•••• · Directorcontrol
        since 08/2011 · owns less than 5%
      • H••••• D•••••• L• · Chief Financial Officer, Senior Managing Director And Treasurercontrol
        since 08/2011 · owns less than 5%
      • J••••••• J•••• E••• · Directorcontrol
        since 08/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 20.0
        Jul 16, 2012 to Mar 27, 2013
      • Employees · unset to 31.0
        Jul 16, 2012 to Mar 27, 2013
      • Discretionary RAUM · $779M to $1.0B
        Jul 16, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $18.1M to $21.8M
        Jul 16, 2012 to Mar 27, 2013
      • RAUM · $797M to $1.1B
        Jul 16, 2012 to Mar 27, 2013
      • Discretionary RAUM · $738M to $779M
        Mar 27, 2012 to Jul 16, 2012
      • Non-discretionary RAUM · $17.5M to $18.1M
        Mar 27, 2012 to Jul 16, 2012
      • RAUM · $755M to $797M
        Mar 27, 2012 to Jul 16, 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