Amegy Investments, Inc. (Houston)


Amegy Investments, Inc. is a large advisory firm based in Houston. It manages $1.97 billion of regulatory assets for 186 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Colorado, and 6 other states.

Amegy Investments provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Amegy Investments: assets under management

The assets under management (AUM) of Amegy Investments, Inc. is $1.97 billion. The firm's AUM has grown by 3832% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Amegy Investments, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Amegy Investments, Inc.

Jane Jia Ouyang has been acting as President since 1 Feb 2005. Stephen Gerard Hines joined the executive team most recently as the President / Director / Rosfp / Mp.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Amegy Bank National Association Owner 1 Feb 2002 75% - 100% 76-0028668
Amegy Bank N.A. Owner 1 Feb 2002 75% - 100% 76-0028668
David Carruth Farries Board member/registered principal/vice president 1 Feb 2002 Other 1632033
Brian James Hays Vice president 1 Feb 2002 Other 1949958
Jenifer Drake Stepanik Board member/president/finop/branch manager/ceo/municipal principal 1 Sep 2002 Other 2648527
Kelly Owen Schmalhausen Vp/chief compliance officer,srop/crop 1 Sep 2002 Other 2340178
Jenifer Drake Board member/president/finop/branch manager/ceo/municipal principal 1 Sep 2002 Other 2648527
Suzette Wells Jones Svp/manager retirement plan services 1 May 2003 Other 1968171
Jane Jia Ouyang Director/svp/chief operations officer/cfo/finop 1 Feb 2005 Other 1817244
Thomas Jay Press Secretary 1 Feb 2005 Other 1367090
David Carruth Farries Consultant/board member 1 Mar 2006 Other 1632033
John Timothy Jr Snider President/branch manager/srop 1 May 2006 Other 1329063
Rosalie Janise Paul Vp/chief compliance officer - ia 1 Sep 2006 Other 2217903
Catherine Elizabeth Novak Vp/chief compliance officer - bd 1 Sep 2006 Other 4082658
Mark H. Friedman Secretary 1 Jan 2007 Other xxx-xx-xxxx
Rosalie Janise Paul Chief compliance officer - investment advisory services 1 Jun 2009 Other 2217903
Terry Lynn Knell Chief compliance officer - broker dealer 1 Jun 2009 Other 1733584
Karen Dillard Assistant secretary 1 Jan 2010 Other xxx-xx-xxxx
Brian James Hays Director, svp - mgr, personal investment adviser group 1 Jan 2010 Other 1949958
Diana Lynn Hertel Secretary, avp-trade review risk manager 1 Jan 2010 Other 4846351
Robert Francis Jennings Officer, president of amegy insurance agency, inc. 1 Jan 2010 Other 1838484
Thomas Jay Press Executive vice president & general counsel 1 Jan 2011 Other 1367090
Rosalie Janise Paul Asst. vice president & chief compliance officer - investment advisory services & insurance activities 1 Jan 2011 Other 2217903
Terry Lynn Knell Vice president & chief compliance officer - broker dealer 1 Jan 2011 Other 1733584
Diana Lynn Hertel Vice president and secretary 1 Jan 2011 Other 4846351
Robert Francis Jennings Senior vice president 1 Jan 2011 Other 1838484
David Joseph Key Director/svp/wealth management 1 Feb 2011 Other 2277804
Robert Francis Jennings Director/senior vice president 1 Jul 2011 Other 1838484
Wendel Emerson Skolaski Director/svp/private banking 1 Jul 2011 Other 4164693
Blanca Ramirez Vice president, secretary to the board 1 Jan 2012 Other 2357152
Rosalie Janise Paul Asst. vice president, compliance officer - insurance activities 1 Mar 2012 Other 2217903
Janice Marie Powell Chief compliane officer - investment advisory services 1 Mar 2012 Other 4519492
Terry Lynn Knell Vice president & chief compliance officer - broker dealer & investment advisory services 1 Jul 2014 Other 1733584
Robert Andrews Shelton Director / senior vice president 1 Jan 2015 Other 2561167
Scott Edward Chapa Director / senior vice president 1 Jan 2015 Other 4309262
Valerie Layne Newman Vice president 1 Jan 2015 Other 2763957
Stephen Gerard Hines Director / senior vice president 1 Jan 2015 Other 1178269
John Timothy Jr Snider Director 1 Mar 2015 Other 1329063
Suzette Wells Jones President / director 1 Mar 2015 Other 1968171
Stephen Gerard Hines Director / senior vice president / rosfp / mp 1 Mar 2015 Other 1178269
Stephen Gerard Hines President / director / rosfp / mp 1 Jul 2015 Other 1178269

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Amegy Holding Delaware Owner 1 Apr 1999 75% - 100% 51-0389110
Inc. Amegy Bancorporation Owner 1 Feb 2002 75% - 100% 76-0519693
Zions Bancorporation Owner 1 Dec 2005 75% - 100% 87-0227400
Amegy Corporation Owner 1 Dec 2005 75% - 100% 20-3213091
Amegy Corporation Owner 1 Dec 2013 75% - 100% 20-3213091

Based in Houston

The principal office where Amegy Investments, Inc. performs its advisory services is located at 4400 Post Oak Parkway, Houston, TX 77027 3421, which is also the mailing address of the firm. An additional office of the firm is in The Woodlands, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-232-2222 or by fax 713-571-5396. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at amegybank.com.