FINSER INVESTMENT ADVISOR
Adviser information for FINSER INVESTMENT ADVISOR last updated from Form ADV on September 5th, 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 | JUNE |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| 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 | 10 | $1.6B |
| Total | 10 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 10 | $1.6B |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 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 businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-67528 |
|---|---|
| SEC ERA File Number | 801-67528 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 142570 |
| Legal Entity Identifier | None |
Principal Office
9601 MCALLISTER FWY, SUITE 301SAN ANTONIO
TX
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 210-224-5492, Fax: 210-224-1720
Chief Compliance Officer
VINCENT E. MYERS
CHAIRMAN/PRESIDENT/CCO
9601 MCALLISTER FWY, SUITE 301
SAN ANTONIO
TX
United States
Tel:
(210) 224-5492
Fax:
(210) 224-1720
V*****@*********M
(Full email address available in API data)
Regulatory Contact
CARLA. BAKER
DIRECTOR
9601 MCALLISTER FWY, SUITE 301
SAN ANTONIO
TX
United States
Tel:
(210)224-5492
Fax:
(210)224-1720
C*****@*********M
(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 |
|---|---|---|---|---|---|
| FRED BAKER & ASSOCIATES, INC. | Domestic Entity | – | OWNER | 12/2006 | > 75% |
| MYERS, VINCENT, EDWARD | Individual | – | CHAIRMAN, PRESIDENT AND CHIEF COMPLIANCE OFFICER | 12/2016 | < 5% |
| BAKER, CARLA, JANE | Individual | – | DIRECTOR | 12/2006 | < 5% |
| Holmes, Matthew, Charles | Individual | – | DIRECTOR | 12/2016 | < 5% |