Founders Capital Management Inc

CRD#111164
Investment Advisor Firm

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Overview

Founders Capital Management Inc is an advisory firm located in Houston, Texas. Founders Capital Management Inc has $193.6 million in total assets throughout 125 client accounts, making it a mid-tier investment advisory firm in the nation by assets under management (AUM). The firm has a small group, including 2 financial advisors. Founders Capital Management Inc does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are exchangable fiscal assets like stocks, bonds and options.

Founders Capital Management Inc oversees all of its accounts on a discretionary basis. Discretionary management signifies that transaction judgments for the client's account are made by an investment advisor without needing client consent. The firm's typical account size is $1.5 million. The average financial advisor at Founders Capital Management Inc administers about 63 client accounts, placing it towards the middle in terms of personalization.

Founders Capital Management Inc's headquarters is located at 4400 Post Oak Parkway, Houston, Texas 77027-3416. Founders Capital Management Inc is permitted to serve investors in the state of Texas.

Assets Under Management

$193.6 million

Number of Advisors

2

Disclosures

No

Office Location

4400 Post Oak Parkway
Houston, TX 77027-3416

Founders Capital Management Inc by the Numbers

Total Assets Under Management

$193.6 million

National Average: $8.6 billion
Total Number of Employees

3

National Average: 64
Total Number of Accounts

125

National Average: 375,227
Average Account Size

$1.5 million

National Average: $23.0 thousand
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Products and Services

Services provided by Founders Capital Management Inc include financial planning services and portfolio management for individuals and small businesses. In the prior fiscal year, the firm provided 26-50 of its accounts with financial planning services. Founders Capital Management Inc is not engaged in selling products or offering services other than investment advice to its investment advisory customers.

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 46% 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 usually vary depending on which services the firm provides the client. Fees charged by the firm typically consist of the following fee type: asset-based. The company does not supply a wrap fee program, in which the company offers a bundle of services for a single fee.

Available

  • Offered by 69% 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.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    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.

  • 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 32% of firms that offer this fee type

    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.

  • 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

Founders Capital Management Inc works with retail investors and high net worth investors. Out of its 125 accounts, Founders Capital Management Inc's largest client type is retail investors, though it also serves 47 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 37.6%
  • Other Individuals - 62.4%
  • Corporations - 0%
  • 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

Founders Capital Management Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Founders Capital Management Inc

Will Oliver
Houston, TX
Grant Buce
Houston, TX
James Walter
Houston, TX

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