SAXON FINANCIAL GROUP
Latest filing: Jan 29, 2025 (205 days ago)
AUM
$616,477,568
15% change vs. 1 year ago
37% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
16
0% change vs. 1 year ago
-11% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
HOUSTON, TX
1177 WEST LOOP S, HOUSTON, TX, UNITED STATES, 77027
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.5 |
| Non-Discretionary | $0.1 |
| Total | $0.6 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 371 | $0.1 |
| Average Individual AUM | $257,003 | |
| HNW | 179 | $0.5 |
| Average HNW AUM | $2,669,567 | |
| Retail Total | 550 | $0.6 |
| Average Retail AUM | $1,042,183 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | ST. PETERSBURG-FL-USA | $0.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.6 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 41% | $0.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $0.0 |
| Municipal | 3% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 1% | $0.0 |
| Investment Companies | 41% | $0.3 |
| Other Pools | 0% | $0.0 |
| Cash | 8% | $0.0 |
| Other | 2% | $0.0 |
| Total | 100% | $0.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
12 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DARRELL BROOKS | HOUSTON | TX | S63|1987-04-06|S65|1995-09-25 | ||||||
| PAUL LOVE | HOUSTON | TX | S63|1985-03-05|S65|1999-12-14 | CHARTERED FINANCIAL CONSULTANT | |||||
| JACLYN GILBERT | HOUSTON | TX | S66|2018-06-02 | ||||||
| RICHARD SAXON | HOUSTON | TX | S63|1999-12-15|S65|1999-12-20 | ||||||
| DEANE HAFLING | HOUSTON | TX | S63|2004-09-23|S66|2006-12-28 | CERTIFIED FINANCIAL PLANNER | |||||
| BRANDON IVY | HOUSTON | TX | S66|2009-02-05 | CERTIFIED FINANCIAL PLANNER | |||||
| ASHLEY TRLICA | HOUSTON | TX | CERTIFIED FINANCIAL PLANNER | ||||||
| OSCAR CASTRO | HOUSTON | TX | S65|2023-11-30 | ||||||
| BRETTON WILLIAMS | HOUSTON | TX | S63|1999-10-01|S66|2002-09-23 | CERTIFIED FINANCIAL PLANNER | |||||
| TIMOTHY LUCIO | HOUSTON | TX | S63|2017-08-12|S65|2019-02-23 | ||||||
| ERIN ERDIL | HOUSTON | TX | S63|1996-10-30|S65|1996-11-18 | ||||||
| ELIZABETH MORRISON | HOUSTON | TX | S66|2014-04-07 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $0.6 | $0.0 | 0% | 16 | 0 | 0% |
| 2025-04-21 | $0.6 | $0.0 | 0% | 16 | 0 | 0% |
| 2024-04-02 | $0.5 | $0.1 | 15% | 16 | 0 | 0% |
| 2023-04-04 | $0.4 | $0.2 | 38% | 16 | 0 | 0% |
| 2022-04-01 | $0.4 | $0.2 | 37% | 18 | -2 | -11% |
| 2021-04-05 | $0.0 | $0.0 | 0% | 13 | 3 | 23% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| TX, CA-06/03/2021, CO-11/28/2023, FL-09/29/2022, LA-06/03/2021, TX-02/09/2021 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV