BRAZOS CAPITAL
BRAZOS CAPITAL, LLC Legal Name
Adviser information for BRAZOS CAPITAL last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 216 | $126.2M |
| Non-Discretionary | 0 | $0 |
| Total | 216 | $126.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $4.9M |
| HNW Individuals | 28 | $121.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)ASSET ALLOCATION SERVICES/ADVISORY CONSULTING/FAMILY OFFICE |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-111665 |
|---|---|
| SEC ERA File Number | 801-111665 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289749 |
| Legal Entity Identifier | None |
Principal Office
200 CONGRESS AVENUESUITE 902
AUSTIN
TX
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 512-827-0826, Fax: None
Websites
Chief Compliance Officer
RICHARD A. FUNK
MANAGING MEMBER
200 CONGRESS AVENUE
SUITE 902
AUSTIN
TX
United States
Tel:
512-827-0826
R***********@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FUNK, RICHARD, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 07/2017 | > 75% |