RHODES INVESTMENT ADVISORS, INC.
Adviser information for RHODES INVESTMENT ADVISORS, INC. last updated from Form ADV on July 31st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | APRIL |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 474 | $146.4M |
| Non-Discretionary | 305 | $105.5M |
| Total | 779 | $251.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 779 | $251.8M |
| HNW Individuals | 0 | $0 |
| 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 | 16 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-117510 |
|---|---|
| SEC ERA File Number | 801-117510 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114245 |
| Legal Entity Identifier | None |
Principal Office
306 WEST 7TH STREETSUITE 1000
FORT WORTH
TX
United States
Monday - Friday, 8:30 AM - 4:00 PM
Tel: 817-334-0455, Fax: 817-334-0063
Chief Compliance Officer
J. GORDON RHODES
PRESIDENT
306 WEST 7TH STREET
SUITE 1000
FORT WORTH
TX
United States
Tel:
817-334-0455
Fax:
817-334-0063
G*@*******M
(Full email address available in API data)
Industry Affiliates
| FRIE FINANCIAL GROUP INC. | Insurance company or agency |
| PREFERRED FINANCIAL SERVICES, INC. | Insurance company or agency |
| RHODES SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RHODES, J., GORDON | Individual | – | PRESIDENT, CCO, CEO, SHAREHOLDER | 12/2008 | > 75% |