THE FINANCIAL ADVISORY GROUP, LLC
CRD #109558 SEC #801-54599 HOUSTON, TX 713-627-7660
SEC Registered
Total AUM
$1.2B
Discretionary
$1.2B
Employees
22
Clients
251
Accounts
2,434
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 23, 2024
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER, SECRETARY, & DIRECTOR | NA | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER, SECRETARY, & DIRECTOR | NA | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER, SECRETARY, & DIRECTOR | NA | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER, SECRETARY, & DIRECTOR | NA | Control |
| Alphonso, Connie, Bass | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Alphonso, Connie, Bass | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Alphonso, Connie, Bass | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Alphonso, Connie, Bass | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Alphonso, Connie, Bass | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | NA | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN OF INVESTMENT COMMITTEE | NA | |
| FRANK, ANITA | I | VICE PRESIDENT | NA | Control |
| FRANK, ANITA | I | VICE PRESIDENT | NA | Control |
| FRANK, ANITA | I | VICE PRESIDENT | NA | Control |
| FRANK, ANITA | I | VICE PRESIDENT | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER & PRESIDENT | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| NELSON, DARRYL, ARTHUR | I | CHIEF OPERATING OFFICER, PRESIDENT & DIRECTOR | NA | Control |
| NELSON, DARRYL, ARTHUR | I | PRESIDENT & DIRECTOR | NA | Control |
| NELSON, DARRYL, ARTHUR | I | PRESIDENT & DIRECTOR | NA | Control |
| Okwuonu, Lynnette, Diane | I | CHIEF OPERATING OFFICER | NA | Control |
| Okwuonu, Lynnette, Diane | I | CHIEF OPERATING OFFICER | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER & DIRECTOR | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER & DIRECTOR | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER & DIRECTOR | NA | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER & DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| SCHARAR, RYAN, EDWARD | I | DIRECTOR | NA | Control |
| Sartor, Thomas, Sayre | I | CHIEF INVESTMENT STRATEGIST & DIRECTOR | NA | |
| Sartor, Thomas, Sayre | I | CHIEF INVESTMENT STRATEGIST & DIRECTOR | NA | |
| Sartor, Thomas, Sayre | I | CHIEF INVESTMENT STRATEGIST & DIRECTOR | NA | Control |
| Sartor, Thomas, Sayre | I | CHIEF INVESTMENT STRATEGIST & DIRECTOR | NA | Control |
| WAESCHE, DONALD, RANDOLPH | I | CHAIRMAN | NA | Control |
| WAESCHE, DONALD, RANDOLPH | I | CHAIRMAN | NA | Control |
| WAESCHE, DONALD, RANDOLPH | I | CHAIRMAN | NA | Control |
| WAESCHE, DONALD, RANDOLPH | I | CHAIRMAN | NA | Control |
| FINANCIAL ADVISORY GROUP HOLDINGS INC. | DE | MANAGING MEMBER | E | Control |
| FINANCIAL ADVISORY GROUP HOLDINGS INC. | DE | MANAGING MEMBER | E | Control |
| FINANCIAL ADVISORY GROUP HOLDINGS INC. | DE | MANAGING MEMBER | E | Control |
| FINANCIAL ADVISORY GROUP HOLDINGS INC. | DE | MANAGING MEMBER | E | Control |
| ALPHONSO, RICHARD | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | PRESIDENT | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | CHIEF EXECUTIVE OFFICER & SECRETARY | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| ESTRIN, STEVEN, ARNOLD | I | CHAIRMAN | D | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | B | Control |
| RIFE, STEVEN, JOSEPH | I | CHIEF INVESTMENT OFFICER & DIRECTOR | B | Control |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| THE ALPHONSO LIVING TRUST | DE | OWNER | B | |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| BOWEN, NATHAN, LYNN | I | CHIEF PLANNING OFFICER | A | Control |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| Kolenda, Christopher, George | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| LEAVITT, AUSTIN, JAMES | I | OWNER | A | |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Martinez, Juan, Diego | I | CHIEF COMPLIANCE OFFICER | A | Control |
| Sartor, Thomas, Sayre | I | OWNER | A | |
| Sartor, Thomas, Sayre | I | OWNER | A | |
| Sartor, Thomas, Sayre | I | OWNER | A | |
| Sartor, Thomas, Sayre | I | OWNER | A | |
| Sartor, Thomas, Sayre | I | DIRECTOR | A | |
| Sartor, Thomas, Sayre | I | DIRECTOR | A | |
| Sartor, Thomas, Sayre | I | CHIEF INVESTMENT STRATEGIST & DIRECTOR | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| ALPHONSO, RICHARD, JOSEPH | I | THE ALPHONSO LIVING TRUST | F | Control |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| Alphonso, Connie, Bass | I | THE ALPHONSO LIVING TRUST | F | |
| ALPHONSO, RICHARD, JOSEPH | I | FINANCIAL ADVISORY GROUP HOLDINGS INC. | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | FINANCIAL ADVISORY GROUP HOLDINGS INC. | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | FINANCIAL ADVISORY GROUP HOLDINGS INC. | D | Control |
| ALPHONSO, RICHARD, JOSEPH | I | FINANCIAL ADVISORY GROUP HOLDINGS INC. | D | Control |
Registrations
Federal
IA
Mar 23, 2024 REGISTERED
Notice Filings (14)
AR CA CO FL LA MA MS NE NY OK PA TN TX VA
Address
5599 SAN FELIPESUITE 900
HOUSTON, TX 77056
United States
Phone: 713-627-7660