U.S. CAPITAL WEALTH ADVISORS, LLC
CRD #288199 SEC #801-110515 HOUSTON, TX 713-366-0500
SEC Registered Private Funds
Total AUM
$7.3B
Discretionary
$5.5B
Employees
133
Clients
251
Accounts
10,833
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 29, 2025
- Branch Offices
- 8
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, CHRISTOPHER, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARGSLEY, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARGSLEY, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARGSLEY, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARGSLEY, CAROLYN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| BOWLING, ELIZABETH, COURTNEY | I | DIRECTOR OF LEGAL AND COMPLIANCE | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEJONCKHEERE, KASEY, LIZANN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ELLIS, MICHELLE, DIANA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ELLIS, MICHELLE, DIANA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ELLIS, MICHELLE, DIANA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ELLIS, MICHELLE, DIANA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FORTESCUE, JAMES, PATRICK | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| KING, DAVID, MICHAEL | I | PRESIDENT AND MANAGING PARTNER | NA | Control |
| KING, DAVID, MICHAEL | I | PRESIDENT AND MANAGING PARTNER | NA | Control |
| KING, DAVID, MICHAEL | I | PRESIDENT AND MANAGING PARTNER | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| LANGE, KEVIN, WILLIAM | I | MANAGING PRINCIPAL | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, JON, PATRICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Rogers, Patrease, LaMour | I | CHIEF OPERATIONS OFFICER | NA | Control |
| Rogers, Patrease, LaMour | I | CHIEF OPERATIONS OFFICER | NA | Control |
| Rogers, Patrease, LaMour | I | CHIEF OPERATIONS OFFICER | NA | Control |
| Rogers, Patrease, LaMour | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB, RICHARD, WAYNE | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHERIDAN, WILHELMINA, ELIZABETH | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SHUCKEROW, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| U.S. CAPITAL WEALTH, LLC | DE | OWNER | E | Control |
| USCW HOLDCO, LLC | DE | OWNER | E | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| LEGACY ONE FINANCIAL HOLDINGS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| U.S. CAPITAL RIA INVESTORS, LLC | DE | OWNER | C | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | B | Control |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| PLH FINANCIAL HOLDINGS, LLC | DE | OWNER | B | |
| FORTESCUE, JAMES, PATRICK | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| FORTESCUE, JAMES, PATRICK | I | MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | CO-MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | MANAGING PARTNER | A | Control |
| MENDENHALL, PATRICK, MICHAEL | I | MANAGING PARTNER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| REDBIRD CAPITAL PARTNERS FUND IV GEN PAR, LLC | DE | ARAX BUSINESS TRUST | F | Control |
| REDBIRD CAPITAL PARTNERS FUND IV GEN PAR, LLC | DE | ARAX BUSINESS TRUST | F | Control |
| REDBIRD CAPITAL PARTNERS FUND IV GEN PAR, LLC | DE | ARAX BUSINESS TRUST | F | Control |
| ARAX BUSINESS TRUST | DE | ARAX INVESTMENT PARTNERS, LLC | E | Control |
| ARAX BUSINESS TRUST | DE | ARAX INVESTMENT PARTNERS, LLC | E | Control |
| ARAX BUSINESS TRUST | DE | ARAX INVESTMENT PARTNERS, LLC | E | Control |
| ARAX INVESTMENT PARTNERS, LLC | DE | ARAX MIDCO, LLC | E | Control |
| ARAX INVESTMENT PARTNERS, LLC | DE | ARAX MIDCO, LLC | E | Control |
| ARAX INVESTMENT PARTNERS, LLC | DE | ARAX MIDCO, LLC | E | Control |
| ARAX MIDCO, LLC | DE | ARAX WEALTH MANAGEMENT, LLC | E | Control |
| ARAX MIDCO, LLC | DE | ARAX WEALTH MANAGEMENT, LLC | E | Control |
| ARAX MIDCO, LLC | DE | ARAX WEALTH MANAGEMENT, LLC | E | Control |
| ARAX WEALTH MANAGEMENT, LLC | DE | U.S. CAPITAL WEALTH, LLC | E | Control |
| ARAX WEALTH MANAGEMENT, LLC | DE | U.S. CAPITAL WEALTH, LLC | E | Control |
| ARAX WEALTH MANAGEMENT, LLC | DE | USCW HOLDCO, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| LANGE, KEVIN, WILLIAM | I | AUSTINFP, INC. | E | Control |
| SHUCKEROW, MICHAEL, JOSEPH | I | LEGACY ONE FINANCIAL HOLDINGS, LLC | E | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | D | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | D | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | D | Control |
| AUSTINFP, INC. | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | D | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| DEJORIA, JOHN, PAUL | I | JPD LEGACY ONE, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
| JPD LEGACY ONE, LLC | DE | LEGACY ONE FINANCIAL HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
May 29, 2025 REGISTERED
Notice Filings (48)
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Address
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United States
Phone: 713-366-0500