FROST INVESTMENT ADVISORS, LLC
Adviser information for FROST INVESTMENT ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 29 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 26 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 13 | $4.2B |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $4.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 5 | $3.6B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 1 | $6.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 4 | $535.7M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $7.0M |
| Other | 1 | $16.6M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 3 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPROVIDE MODELS TO 3RD PARTIES AND RECEIVE ASSET-BASED FEES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
111 WEST HOUSTON STREET10TH FLOOR
SAN ANTONIO
TX
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 210-220-5070, Fax: 210-220-4058
Websites
Chief Compliance Officer
BOB PFEIFER
MANAGING DIRECTOR
111 WEST HOUSTON STREET
10TH FLOOR
SAN ANTONIO
TX
United States
Tel:
210-220-5070
Fax:
210-220-4058
B**********@***********M
(Full email address available in API data)
Regulatory Contact
FLORENCE VARGAS
COMPLIANCE ANALYST
111 WEST HOUSTON STREET
10TH FLOOR
SAN ANTONIO
TX
United States
Tel:
210-220-6492
Fax:
210-220-4058
F**************@***********M
(Full email address available in API data)
Industry Affiliates
| FROST BANK | Banking or thrift institution |
| FROST BROKERAGE SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FROST INSURANCE AGENCY, INC. | Insurance company or agency |
| FROST INVESTMENT SERVICES | 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 |
|---|---|---|---|---|---|
| FROST BANK | Domestic Entity | – | PARENT CORPORATION / MANAGING MEMBER | 12/2007 | > 75% |
| CULLEN/FROST BANKERS, INC. | Domestic Entity | FROST BANK | PARENT CORPORATION | 06/2013 | > 75% |
| ALTREE, TIMOTHY, PAUL | Individual | – | MANAGER / MANAGING DIRECTOR /PRODUCT DEVELOPMENT AND ASSET ALLOCATION | 11/2008 | < 5% |
| PFEIFER, ROBERT, DEAN | Individual | – | MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER | 02/2012 | < 5% |
| ELSWICK, JEFFERY, A | Individual | – | MANAGING DIRECTOR / DIRECTOR OF FIXED INCOME / SENIOR FUND MANAGER / CO-CIO | 02/2008 | < 5% |
| MILICH, MICHAEL, WAYNE | Individual | – | MANAGER | 04/2016 | < 5% |
| BENSON, MICHAEL, DEAN | Individual | – | MANAGER | 01/2017 | < 5% |
| ADELMAN, ALAN, ROBERT | Individual | – | SENIOR RESEARCH ANALYST / SENIOR FUND MANAGER | 01/2019 | < 5% |
| Severyn, Carol, Jean | Individual | – | MANAGER | 02/2021 | < 5% |
| MCCAIN, MACE, MARLIN | Individual | – | PRESIDENT / MANAGER / MANAGING DIRECTOR/CIO | 02/2021 | < 5% |
| Rhodes, Coolidge, Elmo | Individual | – | MANAGER | 10/2021 | < 5% |
| PFEIFER, ROBERT, DEAN | Individual | – | SECRETARY | 08/2021 | < 5% |
| BENSON, MICHAEL, DEAN | Individual | – | TREASURER | 08/2021 | < 5% |
| LUTZ, WILLIAM, JOHN | Individual | – | DIRECTOR OF EQUITIES / SENIOR FUND MANAGER / SENIOR RESEARCH ANALYST | 05/2023 | < 5% |
| HOPKINS, JUSTIN, J | Individual | – | NATIONAL SALES MANAGER | 05/2023 | < 5% |
| WILSON, KENNETH | Individual | – | MANAGER | 01/2024 | < 5% |