# EDGAR Filing Document

**Accession Number:** 0000810878
**File Stem:** 0000810878-23-000002
**Filing Date:** 2023-1
**Character Count:** 12468
**Document Hash:** 8bba4e160b11bceed66c51667b46ff67
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000810878-23-000002.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0000810878-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230215

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ESTRADA HINOJOSA & COMPANY, INC.
- **CENTRAL INDEX KEY:** 0000810878
- **IRS NUMBER:** 752154287
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00459
- **FILM NUMBER:** 23634671

**BUSINESS ADDRESS:**
- **STREET 1:** PLAZA OF THE AMERICAS, SOUTH TOWER
- **STREET 2:** 600 NORTH PEARL STREET, SUITE 2100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
- **BUSINESS PHONE:** 214-658-1670

**MAIL ADDRESS:**
- **STREET 1:** PLAZA OF THE AMERICAS
- **STREET 2:** 600 NORTH PEARL STREET, SUITE 2100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201-7361

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ESTRADA HINOJOSA & CO INC
- **DATE OF NAME CHANGE:** 20020625

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HINOJOSA ESTRADA & CO INC
- **DATE OF NAME CHANGE:** 19950531

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ESTRADA HINOJOSA & CO INC /TX/                          /BD
- **DATE OF NAME CHANGE:** 19931201

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000810878

**Filer CCC:** XXXXXXXX

**Contact Name:** Scott Felt

**Contact Phone:** 214-658-1670

**Contact Email:** sfelt@ehmuni.com

**Notification Emails:** rfalkenberg@ehmuni.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** ESTRADA HINOJOSA & COMPANY, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 19299

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**B. Doing-Business-As (DBA) Name:** Estrada Hinojosa

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 75-2154287

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00291-00

- **Municipal Advisor:** SEC File No: 867-00459

- **Broker-Dealer:** SEC File No: 008-37440, CRD No: 19299

**E. Principal Office and Place of Business:** 600 North Pearl Street, South Tower, Suite 2100, DALLAS, TX, 75201

**Telephone Number:** 214-658-1670

**Additional Offices of Employment:**

- **Office #1 (Add):** 3103 Bee Caves Rd., #133, Austin, TX, 78746 | Phone: 512-605-2442

- **Office #2 (Add):** 801 Travis St., #1400, Houston, TX, 77002 | Phone: 713-622-6690

- **Office #3 (Add):** 14414 Blanco Road, San Antonio, TX, 78216 | Phone: 210-223-4888

- **Office #4 (Add):** 2937 SW 27th Avenue, Suite 200B, Miami, FL, 33133 | Phone: 305-507-0100

**Mailing Address is Different from Principal Office:** No

**F. Website:** ehmuni.com

**G. Chief Compliance Officer (CCO):**

**Name:** Scott Eric Felt

**Titles:** Managing Director, CCO & FINOP

**Address:** 600 North Pearl Street, South Tower, Suite 2100, Dallas, TX, 75201

**Phone Number:** 214-658-1670

**Email:** rae@ehmuni.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** TX

**D. Date of Organization:** 01-09-1987

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 37

**B. Municipal Advisory Activities - Employees:** 31

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 30

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 135

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** Yes

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Accountant or accounting firm, Accountant or accounting firm

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                   | Title/Status                                       | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| Robert Alfonso Estrada | Chief Compliance Officer, Senior Managing Director | 07-01-1990      | B - 10% but less than 25% | Yes               |      2038938 |
| Donald John Gonzales   | Treasurer, Senior Managing Director                | 05-01-2006      | B - 10% but less than 25% | No                |      2020617 |
| Noe NMN Hinojosa       | President & CEO                                    | 05-01-2006      | D - 50% but less than 75% | Yes               |      1782212 |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                   | Title/Status                                       | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
| Delete | Direct      |  | Robert Alfonso Estrada | Chief Compliance Officer, Senior Managing Director | 07-01-1990      | B - 10% but less than 25% | Yes               |      2038938 |
|  | Direct      |  | Donald John Gonzales   | Treasurer, Senior Managing Director                | 05-01-2006      | B - 10% but less than 25% | No                |      2020617 |
|  | Direct      |  | Noe NMN Hinojosa       | President & CEO                                    | 05-01-2006      | D - 50% but less than 75% | Yes               |      1782212 |
| NewAdd | Direct      |  | Scott Eric Felt        | Managing Director                                  | 02-01-2022      | NA - less than 5%         | Yes               |      1878533 |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 182504

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 121460

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 1606788

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 308446

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 1826221

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Estrada Hinojosa & Company, Inc.

- **CRD Number:** 19299

- **Disclosure Number:** 1801685

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** Frederick Robert Falkenberg

  - **CRD Number:** 5636947

  - **Filed On (AP):** Form ADV/BD/U4 for Frederick Robert Falkenberg

  - **Disclosure Number:** 1683557

### Execution Page

**Signature:** F. Robert Falkenberg

**Signer Name:** Frederick Robert Falkenberg

**Title:** Managing Director

**Date:** 01-26-2023

**CRD Number:** 5636947