INTERCONTINENTAL WEALTH ADVISORS, LLC
CRD #114787 SEC #801-66430 SAN ANTONIO, TX 210-271-7947
SEC Registered
Total AUM
$1.5B
Discretionary
$1.4B
Employees
23
Clients
1
Accounts
1,679
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 31, 2023
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AKINS, SCOTT, WILLIAM | I | SEINOR VICEPRESIDENT ANDGENERAL COUNSEL | NA | Control |
| AKINS, SCOTT, WILLIAM | I | SEINOR VICEPRESIDENT ANDGENERAL COUNSEL | NA | Control |
| CHAVEZ, JAIME, ALBERTO | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHAVEZ, JAIME, ALBERTO | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHAVEZ, JAIME, ALBERTO | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| ETH, ROGER, HARLAN | I | VICE PRESIDENT | NA | Control |
| ETH, ROGER, HARLAN | I | VICE PRESIDENT | NA | Control |
| ETH, ROGER, HARLAN | I | VICE PRESIDENT | NA | Control |
| ETH, ROGER, HARLAN | I | VICE PRESIDENT | NA | Control |
| ETH, ROGER, HARLAN | I | VICE PRESIDENT | NA | Control |
| Gullan, Leonard, Lawrence Curle | I | EVP, CHIEFOPERATING OFFICER | NA | Control |
| Gullan, Leonard, Lawrence Curle | I | EVP, CHIEFOPERATING OFFICER | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HENNESSY, JOHN, MAURICE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| HUNT, DAVID, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUNT, DAVID, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUNT, DAVID, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUNT, DAVID, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER, CHIEF COMPLIANCE OFFICER | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER, CHIEF COMPLIANCE OFFICER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER, CHIEF COMPLIANCE OFFICER | NA | Control |
| KAUTH, JOHN, LEO | I | MEMBER, CHIEF COMPLIANCE OFFICER | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO/CCO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO/CCO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KAUTH, JOHN, LEO | I | CEO | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | MEMBER | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, ISIDORO | I | CHAIRMAN OF THE BOARD | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| KORNGOLD, KENNETH, MARCK | I | VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LAROSA, ALFREDO | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | COO | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | DIRECTOR CHIEF OPERATING OFFICER | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| LUTZ, CHARLES, DAY | I | PRESIDENT | NA | Control |
| MANNIX, GAIL, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MANNIX, GAIL, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| MANNIX, GAIL, CAROLYN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| MUNI, AMIT | I | CHIEF FINANCIALOFFICER | NA | Control |
| MUNI, AMIT | I | CHIEF FINANCIALOFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY, TRISTON | I | VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, CCO | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | VICE PRESIDENT, HEAD OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF OPERATIONS | NA | Control |
| OYERVIDES, MARISSA | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF OPERATIONS | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| POLLOCK, RANDALL, DEE | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT CCO | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT CCO | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MARILYN, ANN | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| ROSS, JAIME, EMERSON | I | EXECUTIVE VICEPRESIDENT | NA | Control |
| ROSS, JAIME, EMERSON | I | EXECUTIVE VICEPRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| ROTH, MICHAEL, JOSEPH CARL | I | PRESIDENT | NA | Control |
| CORIENT PRIVATE WEALTH LLC | DE | OWNER | E | Control |
| CORIENT PRIVATE WEALTH LLC | DE | OWNER | E | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| RENAISSANCE PARTNERSHIP, LTD. | DE | MEMBER | D | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
| GRUMP HOLDINGS, LTD | DE | MEMBER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CORIENT HOLDINGS INC | DE | CORIENT PARTNERS LLC | F | Control |
| CORIENT HOLDINGS INC | DE | CORIENT PARTNERS LLC | F | Control |
| CORIENT PARTNERS LLC | DE | CORIENT PRIVATE WEALTH LLC | F | Control |
| CORIENT PARTNERS LLC | DE | CORIENT PRIVATE WEALTH LLC | F | Control |
| CI FINANCIAL CORP. | FE | CORIENT HOLDINGS INC | E | Control |
| CI FINANCIAL CORP. | FE | CORIENT HOLDINGS INC | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP LTD | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KORNGOLD, ISIDORO | I | RENAISSANCE PARTNERSHIP, LTD. | E | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD. | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
| KAUTH, JOHN, LEO | I | GRUMP HOLDINGS, LTD | C | Control |
Registrations
Federal
IA
Jul 31, 2023 REGISTERED
Notice Filings (20)
AZ CA CO DC DE FL IL LA MD MO NC NH NJ NM NV NY PA SC SD TX
Address
112 EAST PECAN STREET, SUITE 525SAN ANTONIO, TX 78205-3729
United States
Phone: 210-271-7947