Financial Advisory is an investment advisor in Houston with $1.20 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
760536640
SEC advisor number
801-54599
FINRA CRD number
109558
AUM ?
$1.20 bn
(as of 24 Oct 22)
Accounts
2,154
(as of 24 Oct 22)
Employees
20
(10 investment advisory or research)
Address
Financial Advisory
5599 SAN FELIPE
SUITE 900
HOUSTON
TX 77056
5599 SAN FELIPE
SUITE 900
HOUSTON
TX 77056
Office hours
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Phone
713-627-7660
Brochures
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Alphonso, Richard, Joseph | Chief Executive Officer & Secretary | 06/1997 | 50-75% |
Estrin, Steven, Arnold | Chairman of Investment Committee | 01/2020 | < 5% |
Martinez, Juan, Diego | Chief Compliance Officer | 01/2017 | 5-10% |
Nelson, Darryl, Arthur | Chief Operating Officer, President & Director | 01/2017 | < 5% |
Rife, Steven, Joseph | Chief Investment Officer & Director | 01/2017 | 10-25% |
Bowen, Nathan, Lynn | Chief Planning Officer | 01/2017 | 5-10% |
Leavitt, Austin, James | Owner | 01/2020 | 5-10% |
the Alphonso Living Trust | Owner | 01/2020 | 10-25% |
Sartor, Thomas, Sayre | Chief Investment Strategist & Director | 02/2022 | 5-10% |
Alphonso, Richard, Joseph | Co-trustee | 09/1997 | |
Alphonso, Connie, Bass | Co-trustee | 09/1997 | |
Kolenda, Christopher, George | Owner | 01/2020 | 5-10% |
Scharar, Ryan, Edward | Director | 02/2022 | < 5% |
Alphonso, Connie, Bass | Chief Administrative Officer | 05/1997 | < 5% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
10 May 24
13F-HR
Quarterly holdings report by institutional manager
13 Feb 24
13F-HR
Quarterly holdings report by institutional manager
7 Dec 23
13F-HR
Quarterly holdings report by institutional manager
8 Aug 23
13F-HR
Quarterly holdings report by institutional manager
11 May 23
13F-HR
Quarterly holdings report by institutional manager
9 Feb 23
13F-HR
Quarterly holdings report by institutional manager
14 Nov 22
13F-HR
Quarterly holdings report by institutional manager
10 Aug 22
13F-HR
Quarterly holdings report by institutional manager
12 May 22
13F-HR
Quarterly holdings report by institutional manager
14 Feb 22