TRI-STAR ADVISORS, INC.
TRI-STAR ADVISORS INC. Legal Name
Adviser information for TRI-STAR ADVISORS, INC. last updated from Form ADV on June 12th, 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 | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 129 | $55.5M |
| Non-Discretionary | 0 | $0 |
| Total | 129 | $55.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 42 | $7.4M |
| HNW Individuals | 32 | $39.3M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $8.8M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Principal Office
5718 WESTHEIMERSUITE 950A
HOUSTON
TX
United States
Monday - Friday, 9:30 A.M. TO 5 P.M.
Tel: 713-735-9200, Fax: 713-735-9226
Chief Compliance Officer
JON VAUGHAN
CHIEF EXECUTIVE OFFICER
5718 WESTHEIMER
SUITE 950
HOUSTON
TX
United States
Tel:
(713) 735-9238
Fax:
(713) 735-9229
J**@*********S
(Full email address available in API data)
Regulatory Contact
WILLIAM PAYNE
PRESIDENT
5718 WESTHEIMER
SUITE 950
HOUSTON
TX
United States
Tel:
(713) 735-9225
Fax:
(713) 735-9226
B*****@*********S
(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 |
|---|---|---|---|---|---|
| PAYNE, WILLIAM, THOMAS | Individual | – | PRESIDENT | 09/2009 | 50-75% |
| VAUGHAN, JON, CARTER | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 09/2009 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 6th, 2023 for period ending September 30th, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ISHARES TR | ISHARES TR | 566K | 1K | – |
| ISHARES TR | ISHARES TR | 473K | 11K | – |
| ISHARES TR | ISHARES TR | 495K | 10K | – |
| ISHARES TR | ISHARES TR | 433K | 5K | – |
| ISHARES TR | ISHARES TR | 392K | 8K | – |
| ISHARES TR | ISHARES TR | 319K | 3K | – |
| SPDR SER TR | Short Term Treasury ETF | 515K | 18K | – |
| SPDR SERIES TRU | Mortgage Backed ETF | 433K | 21K | – |
| VANGUARD FED MN | VANGUARD FED MN | 350K | 350K | – |
| Vanguard FTSE Developed Markets | FTSE ETF | 244K | 6K | – |
| VANGUARD SCOTTS | Short Term Treasury ETF | 514K | 9K | – |
| VANGUARD SCOTTS | Intermediate Treasury ETF | 453K | 8K | – |
| VANGUARD SCOTTS | Intermediate Corporate ETF | 440K | 6K | – |
| Vanguard Total Stock Market ETF | Total Stock Market ETF | 276K | 1K | – |