SEC-registered wealth management firm Broker-dealer affiliated
Rhodes Investment Advisors, Inc.
As of its Form ADV filed August 28, 2026, Rhodes Investment Advisors, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Fort Worth, Texas, reported $419.2 million in regulatory assets under management across 805 accounts, ranking #243 among all wealth firms in Texas by assets.
Registration
- Main office
- Fort Worth, TX
- Registration
- SEC-registered, Approved
- CRD number
- 114245
- SEC file number
- 801-117510
- Registered since
- October 18, 2019
- Latest Form ADV filing
- August 28, 2026
- Organized as
- Corporation
- Fiscal year ends
- April
- Other offices
- 3
Key figures
- Regulatory assets under management
- $419.2 million
- Discretionary
- $214.0 million (51.0%)
- Non-discretionary
- $205.3 million
- Accounts
- 805 (481 discretionary)
- Clients
- 805, approximate as reported
- Employees
- 9
- Advisory staff
- 9 performing investment advisory functions
- Average account
- $520,801
- Asset growth, 1 year
- 11.4% (from $376.3 million a year earlier)
- Asset growth, 3-year annual rate
- 18.5% (from $251.8 million three years earlier)
- Asset growth, 5-year annual rate
- 3.8% (from $348.5 million five years earlier)
- Client growth, 1 year
- -1.2% (from 815)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2020 | $270.8 million |
| October 4, 2021 | $348.5 million |
| October 3, 2022 | $322.3 million |
| October 5, 2023 | $251.8 million |
| October 1, 2024 | $266.2 million |
| September 2, 2025 | $376.3 million |
| October 2, 2026 | $419.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 789 clients | $335.7 million | |
| Pension and profit sharing plans 16 clients | $83.6 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 9
- Also registered through a broker-dealer
- 9
- Employees who are IARs (Form ADV 5.B(3))
- 9
Designations held by the firm's IARs: CFP 2.
2 of the firm's 9 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Texas
| Firm | City | RAUM |
|---|---|---|
| Smart Money Group, LLC Successor: Reported on Form ADV Item 4 that it succeeded to the business of another registered investment adviser. Some of its growth may come from that acquisition, and it is shown as reported. | Eastland | $424.3 million |
| TRANSCE3ND LLC | Buda | $418.9 million |
| Fruth Investment Management | Houston | $417.8 million |
| Castleview Partners, LLC | Dallas | $416.9 million |
| Garner Asset Management Corporation | Plano | $414.0 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Rhodes Investment Advisors, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.rhodessecurities.com
- Wealth management firms in Texas
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.