SEC-registered wealth management firm Broker-dealer affiliated
Tectonic Capital Advisors, LLC
As of its Form ADV filed March 31, 2026, Tectonic Capital Advisors, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Houston, Texas, reported $154.4 million in regulatory assets under management across 48 accounts, ranking #497 among all wealth firms in Texas by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 339604
- SEC file number
- 801-134938
- Registered since
- December 11, 2025
- Latest Form ADV filing
- March 31, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $154.4 million
- Discretionary
- $154.4 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 48 (48 discretionary)
- Clients
- 3, approximate as reported
- Employees
- 3
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $3.2 million
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is affiliated with a bank (Item 7.A(8)) that is part of a group with a broker-dealer (Item 7.A(1)) or controlled by a public company (Schedule D, Item 10.A). 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 2, 2026 | $154.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 3 clients | $154.4 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
Advisory services
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Other
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Banking or thrift institution
- Insurance company or agency
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: CFP 1.
0 of the firm's 2 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 |
|---|---|---|
| Cam Investor Solutions | Austin | $155.4 million |
| Capital Achievements, LLC | Dallas | $154.6 million |
| Atlas | Frisco | $153.9 million |
| Uptown Capital Advisors | Dallas | $153.8 million |
| S&S Wealth Management | Grand Prairie | $153.8 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Tectonic Capital Advisors, LLC on IAPD: Form ADV, brochures and disclosure detail.
- 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.