Hedge Fund Database

PROBITY ADVISORS, INC.

Adviser information for PROBITY ADVISORS, INC. 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 Corporation
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 507 $628.8M
Non-Discretionary 2 $1.3M
Total 509 $630.2M

Clients

Type Number RAUM
Individuals 362 $114.7M
HNW Individuals 123 $385.4M
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 14 $61.9M
Charitable organizations 5 $12.1M
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 $56.2M
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 businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-61430
SEC ERA File Number 801-61430
SEC CIK Numbers 1676603
SEC CRD Numbers 121849
Legal Entity Identifier None

Principal Office

10000 N. CENTRAL EXPRESSWAY
SUITE 1326
DALLAS
TX
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 214-891-8131, Fax: 972-905-9172

Websites

www.probityadvisors.com/ www.linkedin.com/company/probityadvisors www.facebook.com/probityadvisors twitter.com/probityadvisors

Chief Compliance Officer

CHRISTOPHER T. SORROW
VICE PRESIDENT/CHIEF COMPLIANCE OFFICER
10000 N. CENTRAL EXPRESSWAY
SUITE 1326
DALLAS
TX
United States
Tel: 214-891-8131
Fax: 972-905-9172
(Full email address available in API data)

Regulatory Contact

ALISSA KAISER
COMPLIANCE MANAGER
10000 N. CENTRAL EXPWY
SUITE 1326
DALLAS
TX
United States
Tel: 214-891-8131
Fax: 972-905-9172
(Full email address available in API data)

Industry Affiliates

OZANNE AND ASSOCIATES Insurance company or agency
WSA AFFILIATES, LLC 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
OZANNE, PORTER, LOUIS Individual – PRESIDENT/CHAIRMAN OF BOARD/CHIEF EXECUTIVE OFFICER 07/2002 < 5%
OZANNE, LINDA, M. Individual – SECRETARY 07/2002 < 5%
SORROW, CHRISTOPHER, TYLER Individual – VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/BOARD MEMBER/CHIEF OPERATIONS OFFICER/CHIEF FINANCIAL OFFICER 01/2003 < 5%
THE PROBITY SHAREHOLDERS TRUST DTD 07/06/2005 Domestic Entity – TRUST 07/2005 > 75%
JOHNSON, RUSSELL, SIMMS Individual – TRUSTEE OF PROBITY SHAREHOLDER TRUST DTD 7/6/2005 07/2005 < 5%
OZANNE, PORTER, LOUIS Individual THE PORTER L. OZANNE III AND LINDA M. OZANNE JOINT LIVING TRUST DATED 10/30/84 & ANY AMENDMENTS THERETO TRUSTEE 10/1984
OZANNE, LINDA, M. Individual THE PORTER L. OZANNE III AND LINDA M. OZANNE JOINT LIVING TRUST DATED 10/30/84 & ANY AMENDMENTS THERETO TRUSTEE 10/1984
THE PORTER L. OZANNE AND LINDA M. OZANNE JOINT LIVING TRUST DATED 10/30/84 & ANY AMENDMENTS THERETO Domestic Entity THE PROBITY SHAREHOLDERS TRUST DTD 7/06/2005 TRUST 07/2005 50-75%

No. Employees, Historic

105020202021202220232024202510 on 3/31/202010 on 6/30/202010 on 12/7/202010 on 3/30/20217 on 3/17/20228 on 3/27/20238 on 9/20/20239 on 3/27/2024

RAUM, Historic

700M350M0202020212022202320242025464401306 on 3/31/2020464401306 on 6/30/2020464401306 on 12/7/2020561936206 on 3/30/2021657053469 on 3/17/2022587396474 on 3/27/2023587396474 on 9/20/2023630181725 on 3/27/2024

No. Clients, Historic

6003000202020212022202320242025502 on 3/31/2020502 on 6/30/2020502 on 12/7/2020537 on 3/30/2021554 on 3/17/2022569 on 3/27/2023569 on 9/20/2023509 on 3/27/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 286K 3K –
ABBOTT LABS COM 374K 4K –
ABBVIE INC COM 2M 14K –
ADOBE INC COM 702K 1K –
ADVANCED MICRO DEVICES INC COM 1M 7K –
AGCO CORP COM 390K 4K –
ALBEMARLE CORP COM 441K 5K –
ALLETE INC COM NEW 434K 7K –
ALPHABET INC CAP STK CL A 1M 7K –
ALPHABET INC CAP STK CL C 1M 8K –
AMAZON COM INC COM 2M 11K –
AMERICAN ELEC PWR CO INC COM 1M 13K –
AMERICAN EXPRESS CO COM 249K 1K –
AMERICAN TOWER CORP NEW COM 389K 2K –
ANALOG DEVICES INC COM 581K 3K –
APPLE INC COM 2M 8K –
APPLIED MATLS INC COM 830K 4K –
ARCHER DANIELS MIDLAND CO COM 658K 11K –
ARISTA NETWORKS INC COM 2M 7K –
AT&T INC COM 807K 42K –
AVALONBAY CMNTYS INC COM 406K 2K –
BANK AMERICA CORP COM 2M 47K –
BANK MONTREAL QUE COM 889K 11K –
BCE INC COM NEW 545K 17K –
BECTON DICKINSON & CO COM 275K 1K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 793K 2K –
BIOGEN INC COM 217K 938 –
BLACKROCK INC COM 568K 721 –
BOK FINL CORP COM NEW 1M 12K –
BOOKING HOLDINGS INC COM 467K 118 –
BOSTON PROPERTIES INC COM 214K 3K –
BRITISH AMERN TOB PLC SPONSORED ADR 359K 12K –
BROADCOM INC COM 3M 2K –
C3 AI INC CL A 402K 14K –
CAPITAL ONE FINL CORP COM 270K 2K –
CATERPILLAR INC COM 1M 4K –
CENTENE CORP DEL COM 585K 9K –
CHEVRON CORP NEW COM 506K 3K –
CISCO SYS INC COM 2M 33K –
COGNIZANT TECHNOLOGY SOLUTIO CL A 456K 7K –
CONAGRA BRANDS INC COM 358K 13K –
CONOCOPHILLIPS COM 1M 9K –
CORTEVA INC COM 475K 9K –
CROWN CASTLE INC COM 354K 4K –
CULLEN FROST BANKERS INC COM 459K 5K –
DEERE & CO COM 1M 4K –
DIAGEO PLC SPON ADR NEW 335K 3K –
DIGITAL RLTY TR INC COM 743K 5K –
DISNEY WALT CO COM 560K 6K –
DTE ENERGY CO COM 707K 6K –
DUKE ENERGY CORP NEW COM NEW 565K 6K –
EATON CORP PLC SHS 404K 1K –
ELI LILLY & CO COM 4M 4K –
ENERGY TRANSFER L P COM UT LTD PTN 209K 13K –
EQUITY RESIDENTIAL SH BEN INT 535K 8K –
EVERGY INC COM 215K 4K –
EXXON MOBIL CORP COM 1M 9K –
FEDEX CORP COM 630K 2K –
FIDELITY NATIONAL FINANCIAL FNF GROUP COM 210K 4K –
FLEX LTD ORD 254K 9K –
FORD MTR CO DEL COM 339K 27K –
GENERAL MLS INC COM 811K 13K –
GENUINE PARTS CO COM 671K 5K –
GILEAD SCIENCES INC COM 940K 14K –
GOLDMAN SACHS GROUP INC COM 2M 5K –
GSK PLC SPONSORED ADR 371K 10K –
HASBRO INC COM 281K 5K –
HEALTH CATALYST INC COM 130K 20K –
HEALTHPEAK PROPERTIES INC COM 263K 13K –
HOME DEPOT INC COM 1M 3K –
HONEYWELL INTL INC COM 207K 968 –
INTEL CORP COM 678K 22K –
INTERNATIONAL PAPER CO COM 352K 8K –
INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 3M 162K –
ISHARES INC CORE MSCI EMKT 10M 179K –
ISHARES TR 0-5YR HI YL CP 4M 85K –
ISHARES TR 0-5YR INVT GR CP 5M 102K –
ISHARES TR 1 3 YR TREAS BD 2M 23K –
ISHARES TR CORE DIV GRWTH 520K 9K –
ISHARES TR CORE MSCI EAFE 26M 363K –
ISHARES TR CORE MSCI INTL 3M 47K –
ISHARES TR CORE S&P SCP ETF 1M 11K –
ISHARES TR CORE S&P500 ETF 335K 613 –
ISHARES TR EAFE SML CP ETF 2M 37K –
ISHARES TR FLTG RATE NT ETF 11M 218K –
ISHARES TR IBDS DEC28 ETF 6M 250K –
ISHARES TR IBOND DEC 2030 5M 270K –
ISHARES TR IBONDS 24 TRM TS 3M 113K –
ISHARES TR IBONDS 25 TRM TS 3M 116K –
ISHARES TR IBONDS 26 TRM TS 3M 117K –
ISHARES TR IBONDS 27 ETF 6M 251K –
ISHARES TR IBONDS 27 TRM TS 5M 236K –
ISHARES TR IBONDS 28 TRM TS 5M 239K –
ISHARES TR IBONDS 29 TRM TS 5M 243K –
ISHARES TR IBONDS DEC 2030 5M 254K –
ISHARES TR IBONDS DEC 2031 2M 108K –
ISHARES TR IBONDS DEC 2031 2M 108K –
ISHARES TR IBONDS DEC 2032 2M 96K –
ISHARES TR IBONDS DEC 2032 2M 89K –
ISHARES TR IBONDS DEC 2033 2M 87K –
ISHARES TR IBONDS DEC 2033 2M 90K –
ISHARES TR IBONDS DEC 29 5M 238K –
ISHARES TR IBONDS DEC2026 3M 129K –
ISHARES TR IBONDS DEC24 ETF 3M 115K –
ISHARES TR IBONDS DEC25 ETF 3M 118K –
ISHARES TR IBOXX HI YD ETF 11M 147K –
ISHARES TR IBOXX INV CP ETF 811K 8K –
ISHARES TR ISHS 1-5YR INVS 735K 14K –
ISHARES TR JPMORGAN USD EMG 10M 108K –
ISHARES TR MSCI EAFE ETF 3M 34K –
ISHARES TR RUS 1000 GRW ETF 589K 2K –
ISHARES TR S&P 500 GRWT ETF 46M 498K –
ISHARES TR S&P 500 VAL ETF 47M 258K –
ISHARES TR S&P MC 400GR ETF 321K 4K –
ISHARES TR S&P SML 600 GWT 13M 102K –
ISHARES TR SHORT TREAS BD 1M 10K –
ISHARES TR SHRT NAT MUN ETF 1M 12K –
ISHARES TR SP SMCP600VL ETF 22M 221K –
JOHNSON & JOHNSON COM 2M 11K –
JPMORGAN CHASE & CO. COM 1M 5K –
KELLANOVA COM 642K 11K –
KINDER MORGAN INC DEL COM 437K 22K –
KLA CORP COM NEW 408K 495 –
KRAFT HEINZ CO COM 713K 22K –
LAM RESEARCH CORP COM 4M 4K –
LOCKHEED MARTIN CORP COM 2M 4K –
MCDONALDS CORP COM 1M 5K –
MEDTRONIC PLC SHS 566K 7K –
MERCK & CO INC COM 2M 16K –
META PLATFORMS INC CL A 580K 1K –
MICROCHIP TECHNOLOGY INC. COM 4M 41K –
MICROSOFT CORP COM 9M 21K –
MODERNA INC COM 497K 4K –
MONDELEZ INTL INC CL A 529K 8K –
MOSAIC CO NEW COM 240K 8K –
NIKE INC CL B 660K 9K –
NORFOLK SOUTHN CORP COM 1M 5K –
NORTHROP GRUMMAN CORP COM 202K 464 –
NUTRIEN LTD COM 1M 21K –
ORACLE CORP COM 468K 3K –
PALANTIR TECHNOLOGIES INC CL A 393K 16K –
PAYPAL HLDGS INC COM 632K 11K –
PEPSICO INC COM 452K 3K –
PFIZER INC COM 1M 38K –
PHILIP MORRIS INTL INC COM 741K 7K –
PHILLIPS 66 COM 660K 5K –
PINNACLE WEST CAP CORP COM 463K 6K –
PINTEREST INC CL A 212K 5K –
PROCTER AND GAMBLE CO COM 831K 5K –
PUBLIC SVC ENTERPRISE GRP IN COM 1M 17K –
QUALCOMM INC COM 450K 2K –
REGENCY CTRS CORP COM 449K 7K –
RESTAURANT BRANDS INTL INC COM 551K 8K –
RPM INTL INC COM 957K 9K –
SALESFORCE INC COM 766K 3K –
SANOFI SPONSORED ADR 667K 14K –
SERVICENOW INC COM 828K 1K –
SHELL PLC SPON ADS 446K 6K –
SK TELECOM LTD SPONSORED ADR 637K 30K –
SL GREEN RLTY CORP COM 364K 6K –
SMUCKER J M CO COM NEW 948K 9K –
SNAP ON INC COM 358K 1K –
SOFI TECHNOLOGIES INC COM 160K 24K –
SOUTHERN CO COM 512K 7K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 9M 267K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 5M 129K –
SPDR INDEX SHS FDS S&P INTL SMLCP 1M 32K –
SPDR S&P 500 ETF TR TR UNIT 598K 1K –
SPDR SER TR BLOOMBERG HIGH Y 675K 7K –
SPDR SER TR PORTFOLIO INTRMD 924K 28K –
SPDR SER TR PORTFOLIO SHORT 1M 49K –
SPDR SER TR PRTFLO S&P500 GW 10M 121K –
SPDR SER TR PRTFLO S&P500 VL 10M 203K –
SPDR SER TR S&P 600 SMCP GRW 3M 39K –
SPDR SER TR S&P 600 SMCP VAL 5M 67K –
STANDARD MTR PRODS INC COM 226K 8K –
STARBUCKS CORP COM 2M 23K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 309K 2K –
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 513K 40K –
TARGET CORP COM 1M 8K –
TEXAS INSTRS INC COM 3M 13K –
TORONTO DOMINION BK ONT COM NEW 911K 17K –
TRACTOR SUPPLY CO COM 228K 843 –
TYLER TECHNOLOGIES INC COM 444K 884 –
TYSON FOODS INC CL A 303K 5K –
UNILEVER PLC SPON ADR NEW 328K 6K –
UNION PAC CORP COM 574K 3K –
UNITED PARCEL SERVICE INC CL B 1M 8K –
UNITED RENTALS INC COM 1M 2K –
UNITEDHEALTH GROUP INC COM 301K 592 –
US BANCORP DEL COM NEW 1M 27K –
VALERO ENERGY CORP COM 289K 2K –
VANGUARD INDEX FDS GROWTH ETF 4M 10K –
VANGUARD INDEX FDS SM CP VAL ETF 2M 10K –
VANGUARD INDEX FDS SMALL CP ETF 1M 5K –
VANGUARD INDEX FDS SML CP GRW ETF 3M 13K –
VANGUARD INDEX FDS VALUE ETF 2M 13K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 762K 13K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 444K 10K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 807K 10K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 947K 19K –
VERIZON COMMUNICATIONS INC COM 950K 23K –
VISA INC COM CL A 474K 2K –
WALMART INC COM 1M 17K –
WENDYS CO COM 186K 11K –
ZIMMER BIOMET HOLDINGS INC COM 380K 4K –
ZOETIS INC CL A 404K 2K –