Sanders Morris LLC
Firm details
- Headquarters
- Houston, Texas
- CRD number
- 20580
- Registered since
- March 30, 2006
- Website
- www.sandersmorris.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Fixed Fees, Performance Based Fees
- Client types
- HNWI95.57%
- Individuals4.43%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Sanders Morris LLC is an independent registered investment adviser organized as an LLC that provides wealth management and financial planning primarily to individuals and families. The firm is SEC-registered (initial registration in 2006) and describes itself as a capital allocator, combining advisory services with broker‑dealer and insurance intermediary activities. Its fee arrangements include percentage-of-AUM billing, fixed fees, and performance-based fees. Advisory capabilities span financial planning, portfolio management for individuals, small businesses and pooled vehicles, pension consulting and selection of other managers. The firm is also a registered representative of a broker‑dealer and acts as an insurance broker.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds45%
- Exchange Traded Equities35%
- State & Local Bonds9%
- Cash & Cash Equivalents6%
- US Government Bonds3%
Owners & executives
3 of 5
Arthur Sherman
Chief Executive OfficerCRD 2813406
David Block
Vice President, Chief Operating OfficerCRD 2327799
David Hunt
Chief Compliance OfficerCRD 2772872
Contacts
3 of 20Edward Hoffman
OwnerCRD 4154319
George Ball
ChairmanCRD 11332
Donald Sanders
FounderCRD 410116
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 41Active vs passive
$186M in ETFs
97%
$180M
2%
$6.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $32.8M | 44,153 | 17.64% |
Location
Houston, TX
Harris
Location
Houston, TX
Headquartered in Houston, TX, anchoring the Houston-The Woodlands, TX metro in the South.
- Metro area
- Houston-The Woodlands, TX
- Region
- South
- County
- Harris
- Address
- 600 Travis St
- Time zone
- CT (UTC-6)
- Office locations
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