AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $7.1 |
| Non-Discretionary | $0.0 |
| Total | $7.1 |
| Client | AUM |
|---|---|
| Retail | $4.6 |
| Pooled | $0.0 |
| Institutional | $2.6 |
| Total | $7.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 38 | $4.6 |
| Average HNW AUM | $120,534,539 | |
| Retail Total | 38 | $4.6 |
| Average Retail AUM | $120,534,539 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| FIFTH THIRD BANK | CINCINNATI-OH-USA | $2.2 |
| J.P. MORGAN SECURITIES LLC | NEW YORK-NY-USA | $1.7 |
| GOLDMAN SACHS & CO. LLC | NEW YORK-NY-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $7.1 |
| Retail SMA AUM | $4.6 |
| Institutional SMA AUM | $2.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 64% | $4.6 |
| Equity Non-Exch | 33% | $2.4 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $7.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FAYEZ SAROFIM & CO., LLC | $31.4 | 106584 | |
| SAROFIM INTERNATIONAL MANAGEMENT COMPANY LLC | $5.7 | 106933 | |
| SAROFIM REALTY ADVISORS LLC | $1.9 | 106931 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
17 active
| Name | Title |
|---|---|
| WHITE, RAYE, GILLIS | DIRECTOR, EXECUTIVE VICE PRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER |
| LEE, JR., WILLIAM, GENTRY | SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER |
| CHRISTENSEN, ALAN, ROBERT | DIRECTOR, VICE PRESIDENT |
| SAROFIM, CHRISTOPHER, BINYON | CHAIRMAN, TRUSTEE |
| HANNA, WILLIAM, DAVID | DIRECTOR, VICE PRESIDENT AND SECRETARY |
| REZA, REYNALDO, (NMN) | SENIOR VICE PRESIDENT |
| GIBBONS, MICHELE, LEW | GENERAL COUNSEL |
| COLUCCI, JOHN, (NMN) | CHIEF OPERATING OFFICER |
| ROBISON, ALEXANDER, CHASE | CHIEF FINANCIAL OFFICER |
| SEARLS, DAVID, T | DIRECTOR, PRESIDENT |
| DICK, SAMUEL, EDWARD CODY | DIRECTOR, PRINCIPAL |
| ALDER, DOUGLAS, KENNETH | VICE PRESIDENT |
| LAECHELIN, CLINTON, THOMAS | VICE PRESIDENT - FINANCE |
ADVDB.CO • SOURCE: SEC
1 active representative found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| RALPH THOMAS | HOUSTON | TX | S63|1991-08-21 | CHARTERED INVESTMENT COUNSELOR | |||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $7.1 | $0.0 | 0% | 28 | 0 | 0% |
| 2024-04-02 | $7.1 | $0.0 | 0% | 28 | 0 | 0% |
| 2023-04-04 | $0.8 | $6.3 | 779% | 25 | 3 | 12% |
| 2022-04-01 | $0.8 | $6.3 | 762% | 27 | 1 | 4% |
| 2021-04-05 | $0.7 | $6.5 | 944% | 23 | 5 | 22% |
| 2020-04-01 | $0.7 | $6.5 | 982% | 23 | 5 | 22% |
| 2019-04-01 | $0.5 | $6.6 | 1225% | 23 | 5 | 22% |
| 2018-04-02 | $0.8 | $6.3 | 751% | 24 | 4 | 17% |
| 2017-04-01 | $0.7 | $6.4 | 926% | 25 | 3 | 12% |
| 2016-04-01 | $0.6 | $6.5 | 1025% | 24 | 4 | 17% |
| 2015-04-01 | $0.5 | $6.6 | 1274% | 26 | 2 | 8% |
| 2014-04-01 | $0.3 | $6.8 | 1981% | 23 | 5 | 22% |
| 2013-04-01 | $0.3 | $6.8 | 2285% | 22 | 6 | 27% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| TX, TX-05/03/1983 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
TRUST COMPANY |
ADVDB.CO • SOURCE: SEC FORM ADV