T.O.S. ADVISORS, LLC
Adviser information for T.O.S. ADVISORS, LLC last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 82 | $83.4M |
| Non-Discretionary | 274 | $188.9M |
| Total | 356 | $272.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 11 | $271.2M |
| 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 | 2 | $1.1M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 19 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-77313 |
|---|---|
| SEC ERA File Number | 801-77313 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165004 |
| Legal Entity Identifier | None |
Principal Office
10000 MEMORIAL DR.SUITE 100P
HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 713-376-3202, Fax: NO FACSIMILE NO. AVAILABLE
Chief Compliance Officer
RICARDO L. NAZARIO
MANAGING MEMBER/PARTNER
10000 MEMORIAL DR.
SUITE 100P
HOUSTON
TX
United States
Tel:
713-376-3202
R******@***************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 |
|---|---|---|---|---|---|
| NAZARIO, RICARDO, LUIS | Individual | – | PARTNER/CHIEF COMPLIANCE OFFICER | 05/2012 | 25-50% |
| DINUNZIO, RAYMOND | Individual | – | PARTNER | 01/2020 | 25-50% |
| NAZARIO, ALEJANDRO, ROBERTO | Individual | – | PARTNER | 01/2020 | 10-25% |