TECTONIC ADVISORS LLC
Adviser information for TECTONIC ADVISORS LLC last updated from Form ADV on March 18th, 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 | 13 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6,631 | $3.5B |
| Non-Discretionary | 201 | $101.9M |
| Total | 6,832 | $3.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,370 | $348.6M |
| HNW Individuals | 450 | $1.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.8B |
| Pension and profit sharing plans | 127 | $74.1M |
| Charitable organizations | 3 | $3.5M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)RESEARCH AND DUE DILIGENCE FOR OTHER INVESTMENT ADVISORS |
|---|---|
| Compensation | % of AUM |
Principal Office
17 COWBOYS WAYSTE 250
FRISCO
TX
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 713-250-4200, Fax: 713-250-4296
Chief Compliance Officer
STEVE MANGOLD
CHIEF COMPLIANCE OFFICER
600 TRAVIS STREET
SUITE 5900
HOUSTON
TX
United States
Tel:
7132504222
S************@***********M
(Full email address available in API data)
Industry Affiliates
| CAIN, WATTERS & ASSOCIATES, LLC | Other investment adviser, including financial plannersAccountant or accounting firm |
| HWG INSURANCE AGENCY, LLC | Insurance company or agency |
| SANDERS MORRIS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| T BANK, NA | Banking or thrift institutionSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAIN, DARRELL, WARD | Individual | – | CHAIRMAN | 05/2005 | < 5% |
| LYONS, PAUL, DOUGLAS | Individual | – | SENIOR MANAGING DIRECTOR | 01/2006 | < 5% |
| SHERMAN, ARTHUR, HAAG | Individual | – | CEO AND CIO | 02/2015 | < 5% |
| BAIRD, MICHELLE, BARTOE | Individual | – | CHIEF FINANCIAL OFFICER | 02/2015 | < 5% |
| TECTONIC FINANCIAL, INC. | Domestic Entity | – | PARENT COMPANY | 05/2019 | > 75% |
| MANGOLD, STEPHEN, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 7K | 66 | CAIN, WATTERS & ASSOCIATES, LLC |
| ABBOTT LABS | COM | 2M | 17K | – |
| ABBVIE INC | COM | 90K | 527 | – |
| ABBVIE INC | COM | 5M | 32K | CAIN, WATTERS & ASSOCIATES, LLC |
| ACADEMY SPORTS & OUTDOORS IN | COM | 1M | 20K | CAIN, WATTERS & ASSOCIATES, LLC |
| ACCENTURE PLC IRELAND | SHS CLASS A | 670K | 2K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 8K | 28 | CAIN, WATTERS & ASSOCIATES, LLC |
| ADOBE INC | COM | 667K | 1K | – |
| ADOBE INC | COM | 2M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| AGNICO EAGLE MINES LTD | COM | 2M | 31K | CAIN, WATTERS & ASSOCIATES, LLC |
| AIRBNB INC | COM CL A | 749K | 5K | – |
| ALAMO GROUP INC | COM | 499K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| ALPHABET INC | CAP STK CL A | 1M | 8K | CAIN, WATTERS & ASSOCIATES, LLC |
| ALPHABET INC | CAP STK CL C | 4M | 22K | – |
| ALPHABET INC | CAP STK CL C | 35K | 189 | CAIN, WATTERS & ASSOCIATES, LLC |
| ALPS ETF TR | ALERIAN MLP | 11M | 230K | – |
| ALPS ETF TR | ALERIAN MLP | 30K | 629 | CAIN, WATTERS & ASSOCIATES, LLC |
| ALTRIA GROUP INC | COM | 6M | 128K | CAIN, WATTERS & ASSOCIATES, LLC |
| ALTRIA GROUP INC | COM | 42K | 916 | – |
| AMAZON COM INC | COM | 4M | 19K | – |
| AMAZON COM INC | COM | 187K | 967 | CAIN, WATTERS & ASSOCIATES, LLC |
| AMEREN CORP | COM | 411K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| AMERICAN HOMES 4 RENT | CL A | 5M | 134K | CAIN, WATTERS & ASSOCIATES, LLC |
| AMERIPRISE FINL INC | COM | 1M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| AON PLC | SHS CL A | 439K | 1K | – |
| APPLE INC | COM | 2M | 11K | CAIN, WATTERS & ASSOCIATES, LLC |
| APPLE INC | COM | 3M | 13K | – |
| APTIV PLC | SHS | 1M | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| ARES CAPITAL CORP | COM | 7M | 313K | CAIN, WATTERS & ASSOCIATES, LLC |
| ARES CAPITAL CORP | COM | 123K | 6K | – |
| ARROW ELECTRS INC | COM | 400K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| ASML HOLDING N V | N Y REGISTRY SHS | 303K | 296 | – |
| ASSURANT INC | COM | 440K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| AT&T INC | COM | 139K | 7K | – |
| AT&T INC | COM | 7M | 346K | CAIN, WATTERS & ASSOCIATES, LLC |
| ATLAS ENERGY SOLUTIONS INC | COM NEW | 1M | 56K | CAIN, WATTERS & ASSOCIATES, LLC |
| ATMOS ENERGY CORP | COM | 425K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| AUTOZONE INC | COM | 5M | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| AVALONBAY CMNTYS INC | COM | 390K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| AVERY DENNISON CORP | COM | 397K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| AVIAT NETWORKS INC | COM NEW | 2M | 55K | CAIN, WATTERS & ASSOCIATES, LLC |
| BAKER HUGHES COMPANY | CL A | 434K | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| BANC OF CALIFORNIA INC | COM | 2M | 118K | CAIN, WATTERS & ASSOCIATES, LLC |
| BANCFIRST CORP | COM | 895K | 10K | CAIN, WATTERS & ASSOCIATES, LLC |
| BANK AMERICA CORP | COM | 1M | 28K | CAIN, WATTERS & ASSOCIATES, LLC |
| BANK NEW YORK MELLON CORP | COM | 518K | 9K | CAIN, WATTERS & ASSOCIATES, LLC |
| BEL FUSE INC | CL B | 641K | 10K | CAIN, WATTERS & ASSOCIATES, LLC |
| BERKLEY W R CORP | COM | 432K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 3M | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| BERRY GLOBAL GROUP INC | COM | 4M | 75K | CAIN, WATTERS & ASSOCIATES, LLC |
| BJS WHSL CLUB HLDGS INC | COM | 366K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| BLACKROCK MUNIYIELD QUALITY | COM | 249K | 24K | – |
| BLACKSTONE INC | COM | 1M | 8K | – |
| BLOCK H & R INC | COM | 146K | 3K | – |
| BLOCK H & R INC | COM | 5M | 98K | CAIN, WATTERS & ASSOCIATES, LLC |
| BLUE OWL CAPITAL CORPORATION | COM | 7M | 427K | CAIN, WATTERS & ASSOCIATES, LLC |
| BLUE OWL CAPITAL CORPORATION | COM | 127K | 8K | – |
| BORGWARNER INC | COM | 385K | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| BROADCOM INC | COM | 8M | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| BROADCOM INC | COM | 142K | 89 | – |
| BROADRIDGE FINL SOLUTIONS IN | COM | 349K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| BRUNSWICK CORP | COM | 1M | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| BUILDERS FIRSTSOURCE INC | COM | 879K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| CAL MAINE FOODS INC | COM NEW | 1M | 18K | CAIN, WATTERS & ASSOCIATES, LLC |
| CAMDEN PPTY TR | SH BEN INT | 205K | 2K | – |
| CAPITAL SOUTHWEST CORP | COM | 159K | 6K | – |
| CAPITAL SOUTHWEST CORP | COM | 7M | 274K | CAIN, WATTERS & ASSOCIATES, LLC |
| CASEYS GEN STORES INC | COM | 412K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| CATERPILLAR INC | COM | 666 | 2 | CAIN, WATTERS & ASSOCIATES, LLC |
| CATERPILLAR INC | COM | 504K | 2K | – |
| CBRE GROUP INC | CL A | 440K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| CELANESE CORP DEL | COM | 494K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| CENTERPOINT ENERGY INC | COM | 509K | 16K | CAIN, WATTERS & ASSOCIATES, LLC |
| CF INDS HLDGS INC | COM | 512K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| CHEVRON CORP NEW | COM | 709K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| CHEVRON CORP NEW | COM | 377K | 2K | – |
| CHORD ENERGY CORPORATION | COM NEW | 1M | 8K | CAIN, WATTERS & ASSOCIATES, LLC |
| CHUBB LIMITED | COM | 364K | 1K | – |
| CHUBB LIMITED | COM | 8K | 33 | CAIN, WATTERS & ASSOCIATES, LLC |
| CINEMARK HLDGS INC | COM | 960K | 44K | CAIN, WATTERS & ASSOCIATES, LLC |
| CISCO SYS INC | COM | 76K | 2K | – |
| CISCO SYS INC | COM | 7M | 146K | CAIN, WATTERS & ASSOCIATES, LLC |
| CLEAN HARBORS INC | COM | 11M | 50K | CAIN, WATTERS & ASSOCIATES, LLC |
| CLEVELAND-CLIFFS INC NEW | COM | 1M | 74K | CAIN, WATTERS & ASSOCIATES, LLC |
| COCA COLA CO | COM | 4M | 68K | CAIN, WATTERS & ASSOCIATES, LLC |
| COCA COLA CO | COM | 1M | 22K | – |
| COMCAST CORP NEW | CL A | 922K | 24K | CAIN, WATTERS & ASSOCIATES, LLC |
| COMMERCIAL METALS CO | COM | 962K | 18K | CAIN, WATTERS & ASSOCIATES, LLC |
| CONAGRA BRANDS INC | COM | 392K | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| CONOCOPHILLIPS | COM | 673K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| CONSOLIDATED EDISON INC | COM | 4M | 49K | CAIN, WATTERS & ASSOCIATES, LLC |
| CONSOLIDATED EDISON INC | COM | 70K | 784 | – |
| CONSTELLATION BRANDS INC | CL A | 879K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| CORTEVA INC | COM | 805K | 15K | CAIN, WATTERS & ASSOCIATES, LLC |
| CRH PLC | ORD | 6M | 79K | CAIN, WATTERS & ASSOCIATES, LLC |
| CROWN CASTLE INC | COM | 534K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| CUMMINS INC | COM | 903K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| CURTISS WRIGHT CORP | COM | 427K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| CVS HEALTH CORP | COM | 643K | 11K | CAIN, WATTERS & ASSOCIATES, LLC |
| D R HORTON INC | COM | 1M | 8K | CAIN, WATTERS & ASSOCIATES, LLC |
| DANAHER CORPORATION | COM | 784K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| DARDEN RESTAURANTS INC | COM | 1M | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| DIAMONDBACK ENERGY INC | COM | 3M | 15K | CAIN, WATTERS & ASSOCIATES, LLC |
| DIODES INC | COM | 732K | 10K | CAIN, WATTERS & ASSOCIATES, LLC |
| DISNEY WALT CO | COM | 31K | 311 | – |
| DISNEY WALT CO | COM | 1M | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| DOVER CORP | COM | 414K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| DTE ENERGY CO | COM | 557K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| DUKE ENERGY CORP NEW | COM NEW | 75K | 750 | – |
| DUKE ENERGY CORP NEW | COM NEW | 5M | 47K | CAIN, WATTERS & ASSOCIATES, LLC |
| DUPONT DE NEMOURS INC | COM | 1M | 16K | CAIN, WATTERS & ASSOCIATES, LLC |
| EAGLE MATLS INC | COM | 2M | 10K | CAIN, WATTERS & ASSOCIATES, LLC |
| ELI LILLY & CO | COM | 3M | 3K | – |
| ELI LILLY & CO | COM | 17K | 19 | CAIN, WATTERS & ASSOCIATES, LLC |
| ENBRIDGE INC | COM | 8M | 212K | CAIN, WATTERS & ASSOCIATES, LLC |
| ENBRIDGE INC | COM | 59K | 2K | – |
| ENCOMPASS HEALTH CORP | COM | 520K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| ENERGY TRANSFER L P | COM UT LTD PTN | 7M | 415K | CAIN, WATTERS & ASSOCIATES, LLC |
| ENERGY TRANSFER L P | COM UT LTD PTN | 137K | 8K | – |
| ENTERGY CORP NEW | COM | 497K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| ENTERPRISE PRODS PARTNERS L | COM | 6M | 224K | CAIN, WATTERS & ASSOCIATES, LLC |
| ENTERPRISE PRODS PARTNERS L | COM | 8M | 281K | – |
| EOG RES INC | COM | 914K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| EQUITY COMWLTH | COM SH BEN INT | 874K | 45K | CAIN, WATTERS & ASSOCIATES, LLC |
| ETHAN ALLEN INTERIORS INC | COM | 2M | 54K | CAIN, WATTERS & ASSOCIATES, LLC |
| EXXON MOBIL CORP | COM | 21K | 181 | CAIN, WATTERS & ASSOCIATES, LLC |
| EXXON MOBIL CORP | COM | 627K | 5K | – |
| FEDEX CORP | COM | 3M | 11K | CAIN, WATTERS & ASSOCIATES, LLC |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 286K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| FISERV INC | COM | 1M | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| FLUOR CORP NEW | COM | 3M | 61K | – |
| FRANCO NEV CORP | COM | 626K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| GARTNER INC | COM | 412K | 917 | – |
| GATES INDL CORP PLC | ORD SHS | 302K | 19K | CAIN, WATTERS & ASSOCIATES, LLC |
| GENERAL MLS INC | COM | 317K | 5K | – |
| GENUINE PARTS CO | COM | 359K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| GILEAD SCIENCES INC | COM | 80K | 1K | – |
| GILEAD SCIENCES INC | COM | 4M | 65K | CAIN, WATTERS & ASSOCIATES, LLC |
| GLOBAL PMTS INC | COM | 289K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| GLOBAL X FDS | GLBL X MLP ETF | 10M | 212K | – |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 2M | 23K | CAIN, WATTERS & ASSOCIATES, LLC |
| GRAPHIC PACKAGING HLDG CO | COM | 8M | 322K | CAIN, WATTERS & ASSOCIATES, LLC |
| GREENBRIER COS INC | COM | 1M | 22K | CAIN, WATTERS & ASSOCIATES, LLC |
| GRIFFON CORP | COM | 558K | 9K | CAIN, WATTERS & ASSOCIATES, LLC |
| GULFPORT ENERGY CORP | COMMON SHARES | 1M | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| HALOZYME THERAPEUTICS INC | COM | 2M | 29K | CAIN, WATTERS & ASSOCIATES, LLC |
| HARTFORD FINL SVCS GROUP INC | COM | 448K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| HASBRO INC | COM | 5M | 88K | CAIN, WATTERS & ASSOCIATES, LLC |
| HASBRO INC | COM | 31K | 525 | – |
| HDFC BANK LTD | SPONSORED ADS | 313K | 5K | – |
| HEALTHPEAK PROPERTIES INC | COM | 6M | 294K | CAIN, WATTERS & ASSOCIATES, LLC |
| HEALTHPEAK PROPERTIES INC | COM | 37K | 2K | – |
| HERCULES CAPITAL INC | COM | 7M | 362K | CAIN, WATTERS & ASSOCIATES, LLC |
| HERCULES CAPITAL INC | COM | 170K | 8K | – |
| HILLTOP HOLDINGS INC | COM | 1M | 42K | CAIN, WATTERS & ASSOCIATES, LLC |
| HOME BANCSHARES INC | COM | 1M | 56K | CAIN, WATTERS & ASSOCIATES, LLC |
| HOME DEPOT INC | COM | 282K | 819 | CAIN, WATTERS & ASSOCIATES, LLC |
| HOST HOTELS & RESORTS INC | COM | 1M | 64K | CAIN, WATTERS & ASSOCIATES, LLC |
| HP INC | COM | 2M | 52K | CAIN, WATTERS & ASSOCIATES, LLC |
| HUBBELL INC | COM | 354K | 967 | CAIN, WATTERS & ASSOCIATES, LLC |
| ICHOR HOLDINGS | SHS | 1M | 32K | CAIN, WATTERS & ASSOCIATES, LLC |
| ICON PLC | SHS | 873K | 3K | – |
| INCYTE CORP | COM | 740K | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| INTEL CORP | COM | 1M | 41K | CAIN, WATTERS & ASSOCIATES, LLC |
| INTERNATIONAL BUSINESS MACHS | COM | 129K | 746 | – |
| INTERNATIONAL BUSINESS MACHS | COM | 7M | 41K | CAIN, WATTERS & ASSOCIATES, LLC |
| INTERNATIONAL FLAVORS&FRAGRA | COM | 1M | 11K | CAIN, WATTERS & ASSOCIATES, LLC |
| INVESCO QUALITY MUN INCOME T | COM | 360K | 36K | – |
| IRON MTN INC DEL | COM | 179K | 2K | – |
| IRON MTN INC DEL | COM | 8M | 92K | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | 1 3 YR TREAS BD | 168K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | 1 3 YR TREAS BD | 161K | 2K | – |
| ISHARES TR | 20 YR TR BD ETF | 29K | 313 | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | 20 YR TR BD ETF | 2M | 17K | – |
| ISHARES TR | CORE HIGH DV ETF | 594K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | CORE INTL AGGR | 5M | 109K | – |
| ISHARES TR | CORE MSCI EAFE | 9M | 123K | – |
| ISHARES TR | CORE S&P MCP ETF | 7M | 123K | – |
| ISHARES TR | CORE S&P SCP ETF | 25K | 230 | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | CORE S&P SCP ETF | 7M | 64K | – |
| ISHARES TR | CORE S&P TTL STK | 288K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | CORE S&P500 ETF | 23K | 42 | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | CORE S&P500 ETF | 56M | 103K | – |
| ISHARES TR | CORE US AGGBD ET | 1M | 11K | CAIN, WATTERS & ASSOCIATES, LLC |
| ISHARES TR | CORE US AGGBD ET | 28M | 293K | – |
| ISHARES TR | CRE U S REIT ETF | 10M | 187K | – |
| ISHARES TR | RUS MDCP VAL ETF | 2M | 15K | CAIN, WATTERS & ASSOCIATES, LLC |
| ITT INC | COM | 366K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| JAZZ PHARMACEUTICALS PLC | SHS USD | 391K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| JOHNSON & JOHNSON | COM | 62K | 425 | CAIN, WATTERS & ASSOCIATES, LLC |
| JOHNSON & JOHNSON | COM | 493K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| KIMBALL ELECTRONICS INC | COM | 1M | 53K | CAIN, WATTERS & ASSOCIATES, LLC |
| KINDER MORGAN INC DEL | COM | 231K | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| KIRBY CORP | COM | 5M | 45K | CAIN, WATTERS & ASSOCIATES, LLC |
| KLA CORP | COM NEW | 2M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| KNIGHT-SWIFT TRANSN HLDGS IN | CL A | 3M | 62K | CAIN, WATTERS & ASSOCIATES, LLC |
| L3HARRIS TECHNOLOGIES INC | COM | 466K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| LAMB WESTON HLDGS INC | COM | 334K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| LITTELFUSE INC | COM | 391K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| LKQ CORP | COM | 9M | 222K | CAIN, WATTERS & ASSOCIATES, LLC |
| LOEWS CORP | COM | 2M | 21K | CAIN, WATTERS & ASSOCIATES, LLC |
| LOWES COS INC | COM | 1M | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| MAIN STR CAP CORP | COM | 152K | 3K | – |
| MAIN STR CAP CORP | COM | 7M | 141K | CAIN, WATTERS & ASSOCIATES, LLC |
| MARTEN TRANS LTD | COM | 498K | 27K | CAIN, WATTERS & ASSOCIATES, LLC |
| MASCO CORP | COM | 5M | 71K | CAIN, WATTERS & ASSOCIATES, LLC |
| MASTERCARD INCORPORATED | CL A | 893K | 2K | – |
| MASTERCARD INCORPORATED | CL A | 956K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| MCDONALDS CORP | COM | 884K | 3K | – |
| MCDONALDS CORP | COM | 1K | 5 | CAIN, WATTERS & ASSOCIATES, LLC |
| MCKESSON CORP | COM | 873K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| MEDTRONIC PLC | SHS | 1M | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| MEDTRONIC PLC | SHS | 361K | 5K | – |
| MERCADOLIBRE INC | COM | 202K | 123 | – |
| MERCADOLIBRE INC | COM | 3K | 2 | CAIN, WATTERS & ASSOCIATES, LLC |
| MERCK & CO INC | COM | 7M | 56K | CAIN, WATTERS & ASSOCIATES, LLC |
| MERCK & CO INC | COM | 146K | 1K | – |
| META PLATFORMS INC | CL A | 2M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| META PLATFORMS INC | CL A | 274K | 543 | – |
| METALLUS INC | COM | 503K | 25K | CAIN, WATTERS & ASSOCIATES, LLC |
| METLIFE INC | COM | 989K | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| MICROCHIP TECHNOLOGY INC. | COM | 2M | 18K | CAIN, WATTERS & ASSOCIATES, LLC |
| MICROSOFT CORP | COM | 4M | 9K | – |
| MICROSOFT CORP | COM | 892K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| MOLINA HEALTHCARE INC | COM | 366K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| MPLX LP | COM UNIT REP LTD | 73K | 2K | – |
| MPLX LP | COM UNIT REP LTD | 7M | 165K | CAIN, WATTERS & ASSOCIATES, LLC |
| MSC INDL DIRECT INC | CL A | 4M | 48K | CAIN, WATTERS & ASSOCIATES, LLC |
| MSC INDL DIRECT INC | CL A | 57K | 721 | – |
| MSCI INC | COM | 371K | 770 | – |
| MYERS INDS INC | COM | 416K | 31K | CAIN, WATTERS & ASSOCIATES, LLC |
| NAVIGATOR HLDGS LTD | SHS | 1M | 62K | CAIN, WATTERS & ASSOCIATES, LLC |
| NCR VOYIX CORPORATION | COM | 698K | 57K | CAIN, WATTERS & ASSOCIATES, LLC |
| NETFLIX INC | COM | 1M | 2K | – |
| NIKE INC | CL B | 5K | 70 | CAIN, WATTERS & ASSOCIATES, LLC |
| NIKE INC | CL B | 624K | 8K | – |
| NNN REIT INC | COM | 126K | 3K | – |
| NNN REIT INC | COM | 7M | 159K | CAIN, WATTERS & ASSOCIATES, LLC |
| NOV INC | COM | 1M | 63K | – |
| NOVO-NORDISK A S | ADR | 3K | 24 | CAIN, WATTERS & ASSOCIATES, LLC |
| NOVO-NORDISK A S | ADR | 735K | 5K | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 864K | 69K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 1M | 89K | – |
| NVIDIA CORPORATION | COM | 21K | 170 | – |
| NVIDIA CORPORATION | COM | 231K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| OGE ENERGY CORP | COM | 486K | 14K | CAIN, WATTERS & ASSOCIATES, LLC |
| OMNICOM GROUP INC | COM | 417K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| ONEOK INC NEW | COM | 71K | 872 | – |
| ONEOK INC NEW | COM | 7M | 89K | CAIN, WATTERS & ASSOCIATES, LLC |
| OVINTIV INC | COM | 401K | 9K | CAIN, WATTERS & ASSOCIATES, LLC |
| PAYCHEX INC | COM | 4M | 38K | CAIN, WATTERS & ASSOCIATES, LLC |
| PAYCHEX INC | COM | 30K | 257 | – |
| PEPSICO INC | COM | 4M | 24K | CAIN, WATTERS & ASSOCIATES, LLC |
| PEPSICO INC | COM | 1M | 9K | – |
| PFIZER INC | COM | 62K | 2K | – |
| PFIZER INC | COM | 4M | 149K | CAIN, WATTERS & ASSOCIATES, LLC |
| PHOTRONICS INC | COM | 774K | 31K | CAIN, WATTERS & ASSOCIATES, LLC |
| PILGRIMS PRIDE CORP | COM | 768K | 20K | CAIN, WATTERS & ASSOCIATES, LLC |
| PIMCO DYNAMIC INCOME OPRNTS | COM BEN SHS | 395K | 30K | – |
| PIMCO ETF TR | ACTIVE BD ETF | 43K | 472 | – |
| PIMCO ETF TR | ACTIVE BD ETF | 165M | 2M | CAIN, WATTERS & ASSOCIATES, LLC |
| PINNACLE FINL PARTNERS INC | COM | 4M | 46K | CAIN, WATTERS & ASSOCIATES, LLC |
| POTBELLY CORP | COM | 441K | 55K | CAIN, WATTERS & ASSOCIATES, LLC |
| PPG INDS INC | COM | 5M | 40K | CAIN, WATTERS & ASSOCIATES, LLC |
| PROCTER AND GAMBLE CO | COM | 4M | 27K | CAIN, WATTERS & ASSOCIATES, LLC |
| PROCTER AND GAMBLE CO | COM | 2M | 10K | – |
| PROGRESSIVE CORP | COM | 8M | 38K | CAIN, WATTERS & ASSOCIATES, LLC |
| PROPETRO HLDG CORP | COM | 1M | 133K | CAIN, WATTERS & ASSOCIATES, LLC |
| PROSPERITY BANCSHARES INC | COM | 419K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 648K | 9K | CAIN, WATTERS & ASSOCIATES, LLC |
| PULTE GROUP INC | COM | 401K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 356K | 35K | – |
| QUANTA SVCS INC | COM | 974K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| QUEST DIAGNOSTICS INC | COM | 419K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| RAYMOND JAMES FINL INC | COM | 507K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| RB GLOBAL INC | COM | 5M | 60K | CAIN, WATTERS & ASSOCIATES, LLC |
| REALTY INCOME CORP | COM | 95K | 2K | – |
| REALTY INCOME CORP | COM | 5M | 92K | CAIN, WATTERS & ASSOCIATES, LLC |
| REGAL REXNORD CORPORATION | COM | 246K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| REGENCY CTRS CORP | COM | 419K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| REGENERON PHARMACEUTICALS | COM | 819K | 779 | CAIN, WATTERS & ASSOCIATES, LLC |
| REGENERON PHARMACEUTICALS | COM | 5K | 5 | – |
| REGIONS FINANCIAL CORP NEW | COM | 359K | 18K | CAIN, WATTERS & ASSOCIATES, LLC |
| REINSURANCE GRP OF AMERICA I | COM NEW | 470K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| REPUBLIC SVCS INC | COM | 438K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| ROPER TECHNOLOGIES INC | COM | 2M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| SALESFORCE INC | COM | 6K | 22 | CAIN, WATTERS & ASSOCIATES, LLC |
| SALESFORCE INC | COM | 888K | 3K | – |
| SAP SE | SPON ADR | 645K | 3K | – |
| SCHLUMBERGER LTD | COM STK | 2K | 41 | CAIN, WATTERS & ASSOCIATES, LLC |
| SCHLUMBERGER LTD | COM STK | 578K | 12K | – |
| SERVICENOW INC | COM | 976K | 1K | – |
| SHOE CARNIVAL INC | COM | 2M | 48K | CAIN, WATTERS & ASSOCIATES, LLC |
| SHOPIFY INC | CL A | 674K | 10K | – |
| SKECHERS U S A INC | CL A | 348K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| SLEEP NUMBER CORP | COM | 410K | 43K | CAIN, WATTERS & ASSOCIATES, LLC |
| SOUTHLAND HLDGS INC | COM | 447K | 98K | CAIN, WATTERS & ASSOCIATES, LLC |
| SPDR GOLD TR | GOLD SHS | 239K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| SPDR GOLD TR | GOLD SHS | 194K | 900 | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 39M | 424K | CAIN, WATTERS & ASSOCIATES, LLC |
| SPDR SER TR | BLOOMBERG 1-3 MO | 73K | 798 | – |
| SPDR SER TR | BLOOMBERG INTL T | 5M | 219K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 18M | 277K | CAIN, WATTERS & ASSOCIATES, LLC |
| SPROTT PHYSICAL GOLD TR | UNIT | 736K | 41K | CAIN, WATTERS & ASSOCIATES, LLC |
| SS&C TECHNOLOGIES HLDGS INC | COM | 430K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 60K | 2K | – |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 92M | 2M | CAIN, WATTERS & ASSOCIATES, LLC |
| STAG INDL INC | COM | 426K | 12K | CAIN, WATTERS & ASSOCIATES, LLC |
| STARBUCKS CORP | COM | 775K | 10K | – |
| STARBUCKS CORP | COM | 2K | 20 | CAIN, WATTERS & ASSOCIATES, LLC |
| STITCH FIX INC | COM CL A | 846K | 204K | CAIN, WATTERS & ASSOCIATES, LLC |
| STRATUS PPTYS INC | COM NEW | 987K | 39K | CAIN, WATTERS & ASSOCIATES, LLC |
| STRYKER CORPORATION | COM | 838K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| SUNOPTA INC | COM | 1M | 269K | CAIN, WATTERS & ASSOCIATES, LLC |
| TAKE-TWO INTERACTIVE SOFTWAR | COM | 375K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| TARGET CORP | COM | 885K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| TAYLOR MORRISON HOME CORP | COM | 1M | 23K | CAIN, WATTERS & ASSOCIATES, LLC |
| TCW ETF TRUST | FLEXIBLE INCOME | 313K | 8K | – |
| TCW ETF TRUST | FLEXIBLE INCOME | 15M | 381K | CAIN, WATTERS & ASSOCIATES, LLC |
| TEXAS CAP BANCSHARES INC | COM | 1M | 23K | CAIN, WATTERS & ASSOCIATES, LLC |
| THERMO FISHER SCIENTIFIC INC | COM | 844K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 889K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| TIPTREE INC | COM | 441K | 27K | CAIN, WATTERS & ASSOCIATES, LLC |
| TOPGOLF CALLAWAY BRANDS CORP | COM | 950K | 62K | CAIN, WATTERS & ASSOCIATES, LLC |
| TOWER SEMICONDUCTOR LTD | SHS NEW | 1M | 33K | CAIN, WATTERS & ASSOCIATES, LLC |
| TOYOTA MOTOR CORP | ADS | 334K | 2K | – |
| TRAVELERS COMPANIES INC | COM | 2M | 9K | CAIN, WATTERS & ASSOCIATES, LLC |
| TRIUMPH FINANCIAL INC | COM | 2M | 22K | CAIN, WATTERS & ASSOCIATES, LLC |
| TYSON FOODS INC | CL A | 887K | 16K | CAIN, WATTERS & ASSOCIATES, LLC |
| UNIFIED SER TR | ABSLUTE SELCT VL | 21M | 703K | CAIN, WATTERS & ASSOCIATES, LLC |
| UNILEVER PLC | SPON ADR NEW | 170K | 3K | – |
| UNILEVER PLC | SPON ADR NEW | 2M | 28K | CAIN, WATTERS & ASSOCIATES, LLC |
| UNION PAC CORP | COM | 830K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| UNITED RENTALS INC | COM | 926K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| UNITEDHEALTH GROUP INC | COM | 584K | 1K | – |
| UNITEDHEALTH GROUP INC | COM | 5K | 9 | CAIN, WATTERS & ASSOCIATES, LLC |
| US FOODS HLDG CORP | COM | 253K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| VALERO ENERGY CORP | COM | 728K | 5K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 29M | 397K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 8M | 108K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 1M | 31K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INDEX FDS | GROWTH ETF | 1M | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INDEX FDS | MID CAP ETF | 9M | 36K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INDEX FDS | MID CAP ETF | 7M | 29K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 5M | 56K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 10M | 117K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 29M | 58K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 56M | 111K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 7M | 32K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 6M | 28K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 37M | 852K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 5M | 104K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE SMCAP ETF | 2M | 15K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 216K | 2K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 114M | 2M | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 12M | 238K | – |
| VANGUARD WELLINGTON FD | US MOMENTUM | 572K | 4K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 80K | 673 | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 138K | 1K | CAIN, WATTERS & ASSOCIATES, LLC |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | 1M | 14K | – |
| VANGUARD WORLD FD | EXTENDED DUR | 37K | 500 | – |
| VANGUARD WORLD FD | EXTENDED DUR | 3M | 45K | CAIN, WATTERS & ASSOCIATES, LLC |
| VERIZON COMMUNICATIONS INC | COM | 8M | 185K | CAIN, WATTERS & ASSOCIATES, LLC |
| VERIZON COMMUNICATIONS INC | COM | 115K | 3K | – |
| VICI PPTYS INC | COM | 100K | 3K | – |
| VICI PPTYS INC | COM | 5M | 171K | CAIN, WATTERS & ASSOCIATES, LLC |
| VISA INC | COM CL A | 995K | 4K | – |
| VISA INC | COM CL A | 50K | 191 | CAIN, WATTERS & ASSOCIATES, LLC |
| VISTA ENERGY S.A.B. DE C.V. | SPONSORED ADS | 12M | 253K | – |
| VISTA ENERGY S.A.B. DE C.V. | SPONSORED ADS | 6M | 130K | – |
| VISTEON CORP | COM NEW | 4M | 40K | CAIN, WATTERS & ASSOCIATES, LLC |
| WABTEC | COM | 997K | 6K | CAIN, WATTERS & ASSOCIATES, LLC |
| WALGREENS BOOTS ALLIANCE INC | COM | 535K | 44K | CAIN, WATTERS & ASSOCIATES, LLC |
| WALMART INC | COM | 832K | 12K | – |
| WALMART INC | COM | 17K | 258 | CAIN, WATTERS & ASSOCIATES, LLC |
| WELLTOWER INC | COM | 400K | 4K | CAIN, WATTERS & ASSOCIATES, LLC |
| WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 5M | 130K | – |
| WISDOMTREE TR | FLOATNG RAT TREA | 16M | 321K | CAIN, WATTERS & ASSOCIATES, LLC |
| WISDOMTREE TR | GLB US QTLY DIV | 1M | 31K | – |
| WORKDAY INC | CL A | 334K | 1K | – |
| YUM CHINA HLDGS INC | COM | 226K | 7K | CAIN, WATTERS & ASSOCIATES, LLC |
| ZIMMER BIOMET HOLDINGS INC | COM | 328K | 3K | CAIN, WATTERS & ASSOCIATES, LLC |
| ZOETIS INC | CL A | 5K | 26 | CAIN, WATTERS & ASSOCIATES, LLC |
| ZOETIS INC | CL A | 584K | 3K | – |