Tectonic Advisors LLC is a large advisory firm based in Plano. It manages $1.27 billion of regulatory assets for 92 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Florida, Hawaii, Kansas, and 5 other states.
Tectonic Advisors provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and research and due diligence for other investment advisors. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Tectonic Advisors LLC is $1.27 billion. The firm's AUM has grown by 21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Tectonic Advisors LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, charitable organizations, high net worth individuals, and pooled investment vehicles. The largest group of clients of Darrell Ward Cain is pooled investment vehicles with 1 clients and $1.13 billion of assets under management. Among the 8 most similar advisory firms, Tectonic Advisors has the 3rd highest percentage of pooled investment vehicles out of all clients.
The amount of regulatory assets under management is $1.27 billion for 23 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Tectonic Advisors doesn't advise any private funds.
The company employs 13 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. 6 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.
Darrell Ward Cain has been acting as President since 1 May 2005. Nancy Elaine Dixon joined the executive team most recently as the Chief Compliance Officer.
The principal office where Tectonic Advisors LLC performs its advisory services is located at 6900 North Dallas Parkway, Plano, TX 75024, which is also the mailing address of the firm. An additional office of the firm is in Houston, TX. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 713-250-4200 or by fax 713-250-4296. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at 3to1fmr.com.