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Former SEC-registered adviser

S••••••• P••••••••• P••••••• M••••••• L••

Former SEC-registered adviserHouston, TexasCRD 156935SEC 801-73685IAPD
Latest filing Apr 7, 2020
First filing on the tape Feb 14, 2012 · 24 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
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
60
40 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2020
Mar 27, 2013$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 27, 20130 then
Employees (5.A)60 as of Mar 30, 2020
Mar 27, 201350 then
Private funds: no history
RAUM -63% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2020; 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
$70.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-63%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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      • H•••••• M••••••• R•••••• · Vice President, General Counsel, Chief Compliance Officer And Secretarycontrol
        since 04/2020 · owns less than 5%
      • J••••• C•••••• · Directorcontrol
        since 05/2007 · owns less than 5%
      • K•••• D••••• S•••••• · Directorcontrol
        since 09/2010 · owns less than 5%
      • M••••••••• M•••• A••• · President And Chief Executive Officercontrol
        since 04/2020 · owns 5% to 10%
      • S••••• J•••• N•••••••• · Directorcontrol
        since 05/2007 · owns less than 5%
      • S•••••••• A••••• K•••••• · Vice President And Chief Financial Officercontrol
        since 08/2019 · owns less than 5%
      • S••••••• L•••• A••• · Executive Chairman Of The Investment Committee, Director, Chief Investment Officercontrol
        since 05/2007 · owns less than 5%
      • Y•••••••• J•••• A•••••• · Directorcontrol
        since 05/2007 · owns less than 5%
      • S••••••• L•••• A••• · M•••••• And Membercontrol
        since 05/2007 · owns 25% to 50% of S••••••• S••• L••
      • S••••••• L•••• A••• · Membercontrol
        since 07/2019 · owns 75% or more of S••••••• S•• S••••••••• L••
      Entity owners
      • S••••••• S•• S••••••••• L•• · Member
        direct · owns 25% to 50%
      • S••••••• S••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • S••••••• P••••••••• P••••••• I••• L••
        pooled vehicle sponsory
      • S•• I•••• G•• L••
        pooled vehicle sponsory
      • S•• I•••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 29 to 21
        Sep 4, 2019 to Mar 30, 2020
      • Advisory employees · 60 to 40
        Sep 4, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 9 to 3
        Sep 4, 2019 to Mar 30, 2020
      • Employees · 70 to 60
        Sep 4, 2019 to Mar 30, 2020
      • Financial planning clients · unset to 1-10
        Sep 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $4.0B to $1.5B
        Sep 4, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $4.0B to $1.5B
        Sep 4, 2019 to Mar 30, 2020
      • RAUM · $4.0B to $1.5B
        Sep 4, 2019 to Mar 30, 2020
      • Related adviser · true to false
        Sep 4, 2019 to Mar 30, 2020
      • Accounts · 28 to 29
        Oct 17, 2018 to Mar 28, 2019
      • Employees · 75 to 70
        Oct 17, 2018 to Mar 28, 2019
      • Discretionary RAUM · $5.4B to $4.0B
        Oct 17, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $5.4B to $4.0B
        Oct 17, 2018 to Mar 28, 2019
      • RAUM · $5.4B to $4.0B
        Oct 17, 2018 to Mar 28, 2019
      • Accounts · 22 to 28
        May 16, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 9.0
        May 16, 2017 to Mar 29, 2018
      • Employees · 70 to 75
        May 16, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 16, 2017 to Mar 29, 2018
      • Discretionary RAUM · $5.8B to $5.4B
        May 16, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 5359000000.0
        May 16, 2017 to Mar 29, 2018
      • RAUM · $5.8B to $5.4B
        May 16, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.8B to $5.8B
        Jan 9, 2017 to Mar 29, 2017
      • RAUM · $4.8B to $5.8B
        Jan 9, 2017 to Mar 29, 2017
      • Employees · 80 to 70
        Dec 21, 2015 to Mar 28, 2016
      • Discretionary RAUM · $5.9B to $4.8B
        Dec 21, 2015 to Mar 28, 2016
      • RAUM · $5.9B to $4.8B
        Dec 21, 2015 to Mar 28, 2016
      • Accounts · 15 to 22
        Mar 27, 2014 to Mar 26, 2015
      • Advisory employees · 50 to 60
        Mar 27, 2014 to Mar 26, 2015
      • Employees · 70 to 80
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $5.3B to $5.9B
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $5.3B to $5.9B
        Mar 27, 2014 to Mar 26, 2015
      • Accounts · 20 to 15
        Jan 13, 2014 to Mar 27, 2014
      • Advisory employees · 30 to 50
        Jan 13, 2014 to Mar 27, 2014
      • Employees · 50 to 70
        Jan 13, 2014 to Mar 27, 2014
      • Discretionary RAUM · $4.5B to $5.3B
        Jan 13, 2014 to Mar 27, 2014
      • RAUM · $4.5B to $5.3B
        Jan 13, 2014 to Mar 27, 2014
      • Accounts · 26 to 20
        May 3, 2012 to Mar 27, 2013
      • Advisory employees · unset to 30.0
        May 3, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        May 3, 2012 to Mar 27, 2013
      • Employees · unset to 50.0
        May 3, 2012 to Mar 27, 2013
      Signals
      12 dated events
      • Edward Thomas Voytovich (Vice President And Chief Operating Officer And Director) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2020-03-30, absent 2020-04-07)
        Apr 7, 2020 · Control person left · inference
      • Randall Matthew Heintz (Vice President, General Counsel, Chief Compliance Officer And Secretary) appeared on Schedule A of S••••••• P••••••••• P••••••• M••••••• L••
        Apr 7, 2020 · Control person joined · fact
      • Alan Mark Miertschin (President And Chief Executive Officer) appeared on Schedule A of S••••••• P••••••••• P••••••• M••••••• L••
        Apr 7, 2020 · Control person joined · fact
      • Smith Cheryl Phillips (Vice President, General Counsel, Chief Compliance Officer And Secretary) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2020-03-30, absent 2020-04-07)
        Apr 7, 2020 · Control person left · inference
      • Ryan Casey Dalton (Director) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2019-09-04, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • S••••••• P••••••••• P••••••• M••••••• L•• reported RAUM $1.5B, down 63% from $4.0B (2019-09-04 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Robert Charles Kaye (Manager) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2019-09-04, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Patrick Joseph Landy (Manager) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2019-09-04, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Benjamin David Krieger (Director) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2019-09-04, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • K•••••• A•••• S••••••• (Vice President And Chief Executive Officer) appeared on Schedule A of S••••••• P••••••••• P••••••• M••••••• L••
        Sep 4, 2019 · Control person joined · fact
      • Eden Shannon Young (Vice President And Chief Financial Officer And Director) no longer on Schedule A of S••••••• P••••••••• P••••••• M••••••• L•• (listed 2019-03-28, absent 2019-06-19)
        Jun 19, 2019 · Control person left · inference
      • S••••••• P••••••••• P••••••• M••••••• L•• reported RAUM $4.0B, down 26% from $5.4B (2018-10-17 to 2019-03-28)
        Mar 28, 2019 · 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.
      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