ROBERTSON INVESTMENT MANAGEMENT
Adviser information for ROBERTSON INVESTMENT MANAGEMENT last updated from Form ADV on March 31st, 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 | 16 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 702 | $243.4M |
| Non-Discretionary | 1,269 | $191.1M |
| Total | 1,971 | $434.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 931 | $197.2M |
| HNW Individuals | 300 | $152.8M |
| 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 | 2 | $25.2M |
| 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 | 5 | $59.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| 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 businessesREFERRALS TO THIRD-PARTY MONEY MANAGER PORTFOLIOS |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agentCONSULTING |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED OPPORTUNITIES PROGRAM | SECURITIES AMERICA ADVISORS, INC. |
| IMAP INDEPENDENT MANAGED ASSET PROVIDER PROGRAM | SECURITIES AMERICA ADVISORS, INC. |
| FINANCIAL ADVISORS PROGRAM | SECURITIES AMERICA ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-120446 |
|---|---|
| SEC ERA File Number | 801-120446 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115425 |
| Legal Entity Identifier | None |
Principal Office
919 MILAM STSUITE 500
HOUSTON
TX
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 713-622-4077, Fax: 713-624-4001
Websites
Chief Compliance Officer
ROBERT MOREIRO
CHIEF COMPLIANCE OFFICER
799 SANDPIPER LANE
PONTE VEDRA BEACH
FL
United States
Tel:
9737477989
R*****@***************O
(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 |
|---|---|---|---|---|---|
| ROBERTSON, CHASE, MICHAEL | Individual | – | MANAGING MEMBER | 01/2017 | 5-10% |
| JOAO, SONIA, CONSTANCE | Individual | – | OWNER | 12/2020 | 5-10% |
| DOUBLE C FAMILY | Domestic Entity | – | OWNER | 12/2020 | > 75% |
| Ross, Patricia, Ann | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |