Thomas Marshburn
Thomas Marshburn is a registered investment advisor at Capital Markets Iq, LLC, based in Houston, TX, with 34 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 884 clients with $570M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.80% |
Fees are typically 0% to 2.80% of assets under management and are fully negotiable. Certain clients negotiate tiered progressive fee schedules.
Fee Estimator
Location
Houston, TX
Get directionsHistory
Regulatory History (4)
Judgment / Lien
April 2017Customer Dispute
January 2011Customer Dispute
April 2007Customer Dispute
September 2006Other Business Activities
Thomas owns Red Rock Mortgage Management LLC, which holds his personal mortgage-backed securities. He spends about 10-20% of his time on this activity.
Employment History
Current Registrations
Capital Markets Iq, LLC
Previous Registrations
Feltl Advisors
Red Rock Mortgage Management, Lc
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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