Houstoun Capital Management, registered in 2012, serves 3 state(s) with a licensed staff of 2 advisors. Houstoun Capital Management manages $81.3 million and provides investment advisory services for 28 clients (1:14 advisor/client ratio).
|Minimum Investment||Ask firm|
|Average Client Balance||$2,904,246|
|Total AUM||$81.3 million|
|Fee Range||Ask firm|
|Advisor / Client Ratio||1:14|
|Languages Offered||Ask firm|
|SEC Filings||View SEC IAPD CRD #117496|
After checking the disciplinary records of Houstoun Capital Management, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Houstoun Capital Management, our system has identified the following question(s) to ask. Learn more.
Houstoun Capital Management receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients.
Houstoun Capital Management has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Houstoun Capital Management:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|Investment-Related Prohibition - Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").
|12B-1 Conflict||Ask firm|
|Performance-Based Fees||Ask firm|
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Side-by-Side Management||Ask firm|
|Trades Recommended Securities||Yes|
As a financial advisory firm, Houstoun Capital Management can provide a variety of financial planning services for Americans. Financial advisors help you achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
Houstoun Capital Management is headquartered in Bethesda, MD. Houstoun Capital Management offers financial advisor services in 3 states: Maryland, Texas, Virginia.
While Houstoun Capital Management advises clients across a variety of portfolio sizes, the average client balance is currently $2,904,246. In total, Houstoun Capital Management manages $81,318,893 in assets.
This automated report was generated using SEC and FINRA data and was last updated on July 4th, 2021*. For data support, email "firstname.lastname@example.org". Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.