T.O.S. Advisors, LLC (Houston)

T.O.S. Advisors, LLC is a large advisory firm based in Houston. It manages $451.4 million of regulatory assets for 56 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Texas.

T.O.S. Advisors provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

T.O.S. Advisors: assets under management

The assets under management (AUM) of T.O.S. Advisors, LLC is $451.4 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 276% since the beginning of its operation, and $369.33 million of the total AUM is attributable to clients outside of the United States.

The firm manages $451.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.06 million each.

Investments

The firm invests in exchange traded securities the most. They account for 47% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay T.O.S. Advisors, LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at T.O.S. Advisors, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ricardo Luis Nazario	Managing member/president/chief compliance officer	1 May 2012	75% - 100%	1843654

Based in Houston

The principal office where T.O.S. Advisors, LLC performs its advisory services is located at 10000 Memorial Dr., Houston, TX 77024, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-714-1553 or by fax 713-714-1558. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.