MONROE VOS CONSULTING, INC.
Adviser information for MONROE VOS CONSULTING, INC. last updated from Form ADV on March 27th, 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 | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 578 | $5.9B |
| Total | 578 | $5.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 14 | $7.9M |
| HNW Individuals | 40 | $440.4M |
| 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 | 19 | $3.4B |
| Charitable organizations | 22 | $533.4M |
| State or municipal gov entities | 5 | $202.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $162.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.1B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesA PERCENTAGE OF ASSETS NOT UNDER OUR DIRECT MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-48058 |
|---|---|
| SEC ERA File Number | 801-48058 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107315 |
| Legal Entity Identifier | None |
Principal Office
1001 MCKINNEYSUITE 1730
HOUSTON
TX
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 713-227-0100, Fax: 713-227-0347
Chief Compliance Officer
JULIE SWANSON
PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER/COO
1001 MCKINNEY
SUITE 1730
HOUSTON
TX
United States
Tel:
713-227-0100
Fax:
713-227-0347
J************@************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY J. VOS
CO-CHAIMAN
1001 MCKINNEY
SUITE 1730
HOUSTON
TX
United States
Tel:
713-227-0100
Fax:
713-227-0347
T******@************M
(Full email address available in API data)
Industry Affiliates
| CAPFINANCIAL SECURITIES, LLC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CAPTRUST | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALLAHAN, TIMOTHY, ALSTON RUCKER | Individual | – | EXECUTIVE VICE PRESIDENT | 01/2003 | < 5% |
| MONROE, JAMISON | Individual | – | CHAIRMAN/CEO/CFO | 12/1994 | < 5% |
| VOS, TIMOTHY, JOHN | Individual | – | CO-CHAIRMAN | 12/1994 | < 5% |
| SWANSON, JULIE, LYNN | Individual | – | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER/COO | 01/2003 | < 5% |
| THE CAPFINANCIAL GROUP, LLC | Domestic Entity | – | OWNER/MEMBER | 02/2023 | > 75% |
| CAPFINANCIAL HOLDINGS, INC. | Domestic Entity | THE CAPFINANCIAL GROUP, LLC | MEMBER | 05/2015 | 25-50% |
| HALFTIME HOLDINGS LLC | Domestic Entity | THE CAPFINANCIAL GROUP, LLC | VOTING AND NON-VOTING MEMBER | 08/2020 | 25-50% |
| GTCR FUND XII/B LP | Domestic Entity | HALFTIME HOLDINGS LLC | MEMBER | 06/2020 | > 75% |
| MILLER, JAMES, FIELDING | Individual | CAPFINANCIAL HOLDINGS, INC. | DIRECTOR | 05/2015 | 25-50% |
| MILLER, JAMES, FIELDING | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 05/2015 | |
| SOLOMON, ROBERT, G | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 05/2015 | |
| SOLOMON, ROBERT, G | Individual | CAPFINANCIAL HOLDINGS, INC. | DIRECTOR | 05/2015 | |
| HOYLE, WILSON, SMITH | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 05/2015 | |
| GOLDSTEIN, BENJAMIN, STUART | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 04/2010 | |
| ROCHE, COLLIN, EDWARD | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 06/2020 | |
| SMITH, DASHA, MARIE | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 08/2020 | |
| Wilson, Mark, Sanford | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 06/2020 | |
| HOLLANDER, MICHAEL, S | Individual | THE CAPFINANCIAL GROUP, LLC | BOARD OF MANAGERS | 06/2020 |