Fca Corp

CRD#110658
Investment Advisor Firm

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Learn more about Fca Corp

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Fca Corp is an advisory firm headquartered in Houston, Texas. Fca Corp controls $521.6 million in assets throughout 589 client accounts, placing it among the larger firms in the nation by assets under management (AUM). The firm has a small team, including 11 financial advisors. Fca Corp is not a registered broker-dealer, meaning the company cannot buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments like options, bonds and stocks.

    Fca Corp manages the majority of the company's accounts on a discretionary basis. Discretionary management means that transaction judgments are made by a portfolio manager without needing the client's approval. The company also has 45 non-discretionary accounts totaling $53.8 million in assets. The advisory firm administers about $885,621 for each customer account. The typical financial advisor at Fca Corp oversees around 54 client accounts, making it about average in terms of personalization.

    The firm's headquarters is at 791 Town & Country Blvd., Houston, Texas 77024-3925. The company is legally permitted to provide services to clients across a number of states, including California, Florida, Massachusetts, Oklahoma and Texas.

    Assets Under Management

    $521.6 million

    Number of Advisors

    11

    Disclosures

    No

    Office Location

    791 Town & Country Blvd.
    Houston, TX 77024-3925

    Fca Corp by the Numbers

    Total Assets Under Management

    $521.6 million

    National Average: $9.0 billion
    Total Number of Employees

    17

    National Average: 71,771
    Total Number of Accounts

    589

    National Average: 4,329
    Average Account Size

    $885.6 thousand

    National Average: $2.1 million
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    Products and Services

    Fca Corp provides a variety of financial services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients and other services. In the last fiscal year, Fca Corp provided 101-250 of its clients with financial planning services. It is involved in selling products or offering services aside from investment advisory services to its clients. It is affiliated with a number of other companies in the financial services industry, including with an accountant or accounting firm and lawyer or law firm.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 47% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Financial management fees typically are based on the type of services offered. Fees billed by the company likely include the following fee types: asset-based, hourly or fixed. The firm does not participate in a wrap fee program, in which the company offers a service bundle for a single fee.

    Available

    • Offered by 70% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 33% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm provides services to retail investors, high net worth investors, investment companies and pooled investment vehicles. Out of its 589 clients, Fca Corp's biggest client group is high net worth investors, although it also manages money for 142 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's customers are represented by non-U.S. persons.

    • High-Net-Worth Individuals* - 64.55%
    • Other Individuals - 31.82%
    • Corporations - 3.64%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Fca Corp does not have any disclosures.

    Please visit its Form ADV for more details.

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