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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-01-18 |
Branch Locations
9709 Lakeside Blvd, Ste. 450, The Woodlands, TX 77381 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janus Distributors Llc | Denver | CO | 09/2007 | 05/2017 |
| Janus Management Holdings Corp | Denver | CO | 09/2007 | 05/2017 |
| Engrave Wealth Partners, Llc | The Woodlands | TX | 06/2017 | 01/2024 |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2018 | 01/2019 |
| Capfinancial Partners Llc (Captrust) | Raleigh | NC | 01/2024 | Present |
1.Heritage Springs Farm & Ranch, LLC. private residence; Not investment related. Huntsville, TX. Family Ranch. Co-Owner. 12/2009. 1 hour/month. Not during trading hours. Monthly management of bookkeeping and annual reports. 2. Member of Heritage Springs Capital, LLC; Private residence; not investment related; Real Estate; Started 8/26/2022; 0 hours per month. 3. Member of Heritage Springs Hospitality, LLC, Heritage Springs Land, LLC, Heritage Springs Oil & Gas, LLC, Heritage Springs Properties, LLC, Heritage Springs Wellness, LLC, Heritage Woodlands, LLC; Private residence; not investment related; Holding Companies for private investments; Started 2021; 0 hours per month. 4. Heritage Springs Investments, LLC; Private residence; not investment related; Holding Company for private investment; Started 6/21/2022; 0 hours per month. 5. Heritage Springs Strategies, LLC; Private residence; not investment related; Holding Company for private investment; Started 11/2023; 0 hours per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-27 |
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