TEAM FINANCIAL STRATEGIES
J. TEAM FINANCIAL, INC. Legal Name
Adviser information for TEAM FINANCIAL STRATEGIES last updated from Form ADV on March 29th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,134 | $189.9M |
| Non-Discretionary | 18 | $13.3M |
| Total | 1,152 | $203.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 179 | $50.1M |
| HNW Individuals | 58 | $129.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $12.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $11.8M |
| 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 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-78596 |
|---|---|
| SEC ERA File Number | 801-78596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134104 |
| Legal Entity Identifier | None |
Principal Office
425 CYPRESS ST.ABILENE
TX
United States
Monday - Friday, 8:30AM-5PM
Tel: 325-480-1587, Fax: 817-796-2709
Chief Compliance Officer
MATTHEW M GIGGEY
CHIEF COMPLIANCE OFFICER
36 W. PIKE ST.
FLOOR 2
COVINGTON
KY
United States
Tel:
859-402-1462
M******@**********************M
(Full email address available in API data)
Regulatory Contact
JOSEPH TEAM
CEO
425 CYPRESS STREET
ABILENE
TX
United States
Tel:
325-480-1587
Fax:
817-796-2709
J****@***********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TFS PRIVATE OPPORTUNITIES FUND, LP | PRIVATE EQUITY, CREDIT, & REAL ESTATE | $3.7M | $0.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHEETS, LANDON, TED | Individual | – | SHAREHOLDER | 04/2017 | < 5% |
| TEAM, JOSEPH, SHANE | Individual | – | PRESIDENT/CEO | 08/2007 | > 75% |
| HAYNES, DARRELL, SCOTT | Individual | – | SECRETARY/SHAREHOLDER | 05/2017 | 10-25% |
| SHEETS, HARRY, KYLE | Individual | – | SHAREHOLDER | 04/2017 | < 5% |
| SHEETS, ZACHARY, KYLE | Individual | – | SHAREHOLDER | 04/2017 | < 5% |
| MARION, BLAKE, E | Individual | – | SHAREHOLDER; CHIEF FINANCIAL OFFICER | 01/2018 | < 5% |
| GIGGEY, MATTHEW, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |