Riata Capital Group, LLC

CRD#289948
Investment Advisor Firm

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Overview

Riata Capital Group, LLC is a financial advisor firm based in Dallas, Texas. Riata Capital Group, LLC administers $690.8 million in assets across 17 customer accounts, placing it among the bigger financial advisory firms in the nation by assets under management (AUM). The company has a small group, including 10 financial advisors. Riata Capital Group, LLC does not act as a registered broker-dealer, signifying that the company is not able to buy and sell securities for its customers' and own accounts 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.

Riata Capital Group, LLC administers all of the firm's client assets in a discretionary manner. Discretionary management means that a portfolio manager has the discretion to make buy and sell judgments for the client's account without needing to seek client permission. Riata Capital Group, LLC manages about $40.6 million in assets for every account. The typical financial advisor at Riata Capital Group, LLC manages about two client accounts, placing it among the most personalized financial advisor firms in the country.

The company's main office is located at 4550 Travis Street, Dallas, Texas 75205. The company is legally registered to provide services to customers in the state of Texas.

Assets Under Management

$690.8 million

Number of Advisors

10

Disclosures

No

Office Location

4550 Travis Street
Dallas, TX 75205

Riata Capital Group, LLC by the Numbers

Total Assets Under Management

$690.8 million

National Average: $8.6 billion
Total Number of Employees

15

National Average: 64
Total Number of Accounts

17

National Average: 375,227
Average Account Size

$40.6 million

National Average: $23.0 thousand
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Fee Structure

Financial management fees typically vary depending on which services the firm provides the client. Fees charged by Riata Capital Group, LLC can be comprised of the following fee types: asset-based, performance-based or other. The firm does not provide a wrap fee program, in which the firm 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.

  • Offered by 26% of firms

    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.

  • Offered by 10% of firms

    Other

    Show Explanation

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

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 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.

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Types of Clients

The firm caters to pooled investment vehicles. Out of its 17 accounts, Riata Capital Group, LLC's biggest client group is pooled investment vehicles. None of the company's accounts are from outside of the U.S.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • 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

Riata Capital Group, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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