AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.3 |
| Non-Discretionary | $0.0 |
| Total | $0.3 |
| Client | AUM |
|---|---|
| Retail | $0.1 |
| Pooled | $0.2 |
| Institutional | $0.0 |
| Total | $0.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 18 | $0.1 |
| Average HNW AUM | $4,959,140 | |
| Retail Total | 18 | $0.1 |
| Average Retail AUM | $4,959,140 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| NORTHERN TRUST SECURITIES, INC. | CHICAGO-IL-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.1 |
| Retail SMA AUM | $0.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 97% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 3% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| COTTON CREEK CAPITAL MANAGEMENT, LLC | $0.0 | 288915 | |
| COTTON CREEK INVESTMENTS LLC | $0.0 | - | |
| BBA-CGFIV GP, LLC | $0.0 | - | |
| BBA-FCCIII GP, LLC | $0.0 | - | |
| BBA-COINVEST GP, LLC | $0.0 | - | |
| IVANHOE MANAGEMENT COMPANY, LLC | $0.0 | - | |
| RAZ PROPERTY INVESTMENTS GP, LLC | $0.0 | 289473 | |
| BBA-IVYII GP, LLC | $0.0 | - | |
| BBA-MPIV GP, LLC | $0.0 | - | |
| GLENWICK MANAGEMENT COMPANY, LLC | $0.0 | - | |
| BBA-SLXII GP, LLC | $0.0 | - | |
| BBA-DOFV GP, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN ALLEN | DALLAS | TX | S65|2023-03-15 | ||||||
| RACHEL KEISER | DALLAS | TX | S65|2022-01-20 | ||||||
| KATHERINE BROYLES | DALLAS | TX | S65|2023-09-28 | ||||||
| CARA SOSEBEE | DALLAS | TX | S65|2022-12-31 | ||||||
| JAMES BRADEN | DALLAS | TX | S63|1995-10-13|S65|1995-10-13 | PERSONAL FINANCIAL SPECIALIST | |||||
| RYAN CHILDRESS | DALLAS | TX | S65|2023-01-23 | ||||||
| FREDERICK WAHL | DALLAS | TX | S63|1997-09-29 | CHARTERED FINANCIAL ANALYST | |||||
| TYLER DODD | DALLAS | TX | S65|2022-08-29 | ||||||
| SMITH BROWNLIE | DALLAS | TX | S63|1987-12-14|S65|1994-09-30 | PERSONAL FINANCIAL SPECIALIST | |||||
| JAMES GARNETT | DALLAS | TX | S65|2020-10-15 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| TX, AR-07/10/2017, TX-07/10/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV