Usca Ria LLC

Usca Ria LLC (CRD# 152170) is a financial advisory firm headquartered in Houston, TX. They manage $1,801,628,644 in 3,932 accounts and serve the financial needs of clients across 47 states (or territories).

By the Numbers
  • Total Assets Under Management
    1,802
    MILLION
  • Total Number of Accounts
    3,932
    ACCOUNTS
  • Average Account Value
    $458,197
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VI, VT, WA, WI, WV

Financial Advisors at Usca Ria LLC
Showing 1 - 10 of 66 top financial advisors.
1
Rachel M. Brown
CRD#: 4624485
4444 Westheimer, Suite G500, Houston, TX 77027
96
Wealthminder
score

Rachel Brown (CRD# 4624485) is an Investment Advisor Representative working at Usca Ria LLC in Houston, TX and has over 14 years of experience in the finance industry. Rachel Brown has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Clayton A. Fisher
CRD#: 4552485
300 Crescent Court, Suite 1150, Dallas, TX 75201
96
Wealthminder
score

Clayton Fisher (CRD# 4552485) is an Investment Advisor Representative working at Usca Ria LLC in Dallas, TX and has over 12 years of experience in the finance industry. Clayton Fisher has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
Clifford R. McTee
CRD#: 1500757
4444 Westheimer, Suite G500, Houston, TX 77027
96
Wealthminder
score

Clifford McTee (CRD# 1500757) is an Investment Advisor Representative working at Usca Ria LLC in Houston, TX and has over 31 years of experience in the finance industry. Clifford McTee has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Kim-ha T. Nguyen
CRD#: 4063673
4444 Westheimer, Suite G500, Houston, TX 77027
96
Wealthminder
score

Kim-ha Nguyen (CRD# 4063673) is an Investment Advisor Representative working at Usca Ria LLC in Houston, TX and has over 17 years of experience in the finance industry. Kim-ha Nguyen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

5
Robin C. Austin
CRD#: 2518265
300 Crescent Court, Suite 1150, Dallas, TX 75201
93
Wealthminder
score

Robin Austin (CRD# 2518265) is an Investment Advisor Representative working at Usca Ria LLC in Dallas, TX and has over 23 years of experience in the finance industry.

6
Robert D. Bourland
CRD#: 2847162
300 Cresent Court, Suite 1150, Dallas, TX 75201
93
Wealthminder
score

Robert Bourland (CRD# 2847162) is an Investment Advisor Representative working at Usca Ria LLC in Dallas, TX and has over 20 years of experience in the finance industry.

7
Thomas C. Carman
CRD#: 5551638
4444 Westheimer, Suite G500, Houston, TX 77027
93
Wealthminder
score

Thomas Carman (CRD# 5551638) is an Investment Advisor Representative working at Usca Ria LLC in Houston, TX and has over 5 years of experience in the finance industry. Thomas Carman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

8
Denise L. Clifton
CRD#: 5014598
300 Crescent Court, Suite 1150, Dallas, TX 75201
93
Wealthminder
score

Denise Clifton (CRD# 5014598) is an Investment Advisor Representative working at Usca Ria LLC in Dallas, TX and has over 12 years of experience in the finance industry.

9
Ann E. Deaton
CRD#: 1456459
4444 Westheimer, Suite G500, Houston, TX 77027
93
Wealthminder
score

Ann Deaton (CRD# 1456459) is an Investment Advisor Representative working at Usca Ria LLC in Houston, TX and has over 31 years of experience in the finance industry.

10
Charles T. Dix
CRD#: 1286467
300 Crescent Court, Suite 1150, Dallas, TX 75201
93
Wealthminder
score

Charles Dix (CRD# 1286467) is an Investment Advisor Representative working at Usca Ria LLC in Dallas, TX and has over 33 years of experience in the finance industry.

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.