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Hoxton Capital Management Review

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Hoxton Capital Management, registered in 2020, serves 2 state(s) with a licensed staff of 13 advisors. Hoxton Capital Management manages $101.7 million and provides investment advisory services for 152 clients (1:12 advisor/client ratio).



Firm Information


Summary Firm
Overall Rating
Minimum Investment $25,000
Average Client Balance $669,401
Total AUM $101.7 million
Fee Range Our fees will vary depending on account balance and/or State regulatory requirements. Please contact us for specific details relating to your case.
Advisor / Client Ratio 1:12
Languages Offered English
Specialities Expatriates, International Asset Planning, Retirement Planning, Tax Planning
Clientele Specialising primarily with expatriate clients, particularly former UK residents, now residing in the United States.
Website Visit Site
Phone Number 737-249-9620
Headquarters Austin, TX
Locations See locations
Facebook Visit Profile
LinkedIn Visit Profile
SEC Filings View SEC IAPD CRD #307387

Investment Philosophy


At Hoxton Capital Management we pride ourselves on our personalised, honest, and deeply committed approach. We offer tailored solutions and relevant advice that stems from a deep understanding of you and your personal requirements. We work with you to understand your goals and offer the right strategies to help your investments develop and move forward so you can live out your retirement dreams.



Disciplinary Questions


After checking the disciplinary records of Hoxton Capital Management, our system has identified the following question(s) to ask. Learn more.


In the past 10 years, a domestic or foreign court has issued an injunction against Hoxton Capital Management or an advisory affiliate in connection with an investment-related activity.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Hoxton Capital Management or an advisory affiliate was previously found guilty of making false statements or omissions by the SEC, CFTC, or another regulatory agency or organization.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Hoxton Capital Management or an advisory affiliate was previously involved with violating a regulation or statute by a domestic or foreign court, the SEC, CFTC, or another regulatory body or commodities exchange.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Hoxton Capital Management or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


The SEC, CFTC, or another regulatory agency has previously entered an order against Hoxton Capital Management or an advisory affiliate in connection with an investment-related activity.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Hoxton Capital Management or one of its employees previously has been subject to a suspension or expulsion or other restriction of activities with a Self-Regulating Organization or commodities exchange.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Hoxton Capital Management or an advisory affiliate has previously had their authorization to act as an attorney, accountant, or federal contractor revoked or suspended.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Our system found no other disciplinary questions to ask. Checks take place monthly.



Conflict Questions


After checking the regulatory records of Hoxton Capital Management, our system has identified the following question(s) to ask. Learn more.


What percentage of income does Hoxton Capital Management receive from fees versus commissions?


Hoxton Capital Management can accept commissions for its investment advisory services. These commissions may be earned from the sale of investment or insurance products and are paid by the companies providing the products being sold. While this allows for a broader range of investment options and management styles a firm can offer, it can also create an incentive for the firm to put their financial interests ahead of your own. Is the firm’s purpose to provide you financial planning and ongoing advice or to sell commission-based products to its clients?


Does Hoxton Capital Management practice as a law firm? Is Hoxton Capital Management affiliated with one?


This firm or an affiliate actively engages in business as a law firm or lawyer. When operating in this dual-capacity, advisors may be incentivized to implement plans as an attorney that could drive higher revenue for themselves as investment advisors.


Which securities does Hoxton Capital Management trade for itself that it will also be recommending to me?


Hoxton 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.



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Disciplinary History


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 Hoxton Capital Management:




Cost


Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response. To learn more, explore our series of articles about what financial advisors do and what it may cost to work with one, as well as what their titles mean and how to make a smart choice.

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").


View Fee Disclosures




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