FIRST COMMAND ADVISORY SERVICES
Adviser information for FIRST COMMAND ADVISORY SERVICES last updated from Form ADV on January 5th, 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 | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 1625 |
|---|---|
| Investment Advisory/Research | 1050 |
| Registered Broker-Dealer Representatives | 1120 |
| Registered State Investment Advisers | 1050 |
| Licensed Agents of an Insurance Company | 1098 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 107,959 | $17.5B |
| Non-Discretionary | 0 | $0 |
| Total | 107,959 | $17.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 106,254 | $15.7B |
| HNW Individuals | 1,625 | $1.7B |
| 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 | 5 | $3.6M |
| Charitable organizations | 26 | $3.6M |
| 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 | 49 | $54.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1030 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 46500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 17.4B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ASSET MANAGEMENT SOLUTIONS | FIRST COMMAND ADVISORY SERVICES |
Identifiers
| SEC RIA File Number | 801-56942 |
|---|---|
| SEC ERA File Number | 801-56942 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281958 |
| Legal Entity Identifier | None |
Principal Office
1 FIRSTCOMM PLAZAFORT WORTH
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 817-731-8621, Fax: 817-569-2244
Chief Compliance Officer
VERONICA HAMMOND
SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
1 FIRSTCOMM PLAZA
FORT WORTH
TX
United States
Tel:
817-569-2772
Fax:
817-569-2244
V********@***************M
(Full email address available in API data)
Regulatory Contact
SHENEAH BROWN
DIRECTOR, COMPLIANCE
1 FIRSTCOMM PLAZA
FORT WORTH
TX
United States
Tel:
817-569-3663
S******@***************M
(Full email address available in API data)
Industry Affiliates
| FIRST COMMAND BANK | Banking or thrift institution |
| FIRST COMMAND BROKERAGE SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FIRST COMMAND EUROPE LTD. | Other investment adviser, including financial planners |
| FIRST COMMAND INSURANCE SERVICES, INC | Insurance company or agency |
| FIRST COMMAND LIFE INSURANCE CO. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | Domestic Entity | – | STOCKHOLDER/OWNER | 12/2000 | > 75% |
| STEFFE, MARK, DUANE | Individual | – | PRESIDENT AND CEO | 01/2020 | < 5% |
| HAMMOND, VERONICA, DENISE | Individual | – | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 04/2020 | < 5% |
| Cerbone, Heidi, Elizabeth | Individual | – | VICE PRESIDENT AND TREASURER | 10/2020 | < 5% |
| CADDELL, TINA, KATHERINE | Individual | – | VICE PRESIDENT, OPERATIONS | 07/2023 | < 5% |
| Chartan, Eric | Individual | – | SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL | 10/2023 | < 5% |
| Nee, Nancy, Y | Individual | – | CHIEF TRANSFORMATION OFFICER | 12/2023 | < 5% |