Richard Funk is a CFP-designated registered investment advisor at Brazos Capital, based in Austin, TX, with 22 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 32 clients with $91M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
IM Fee
Planning only
Assets Under Management
$90.5M
Loading...
Location
200 Congress Avenue, Suite 902, Austin, TX, 78701
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2024Settled
Customer Dispute
April 2024Settled
Other Business Activities
Richard is a business owner of Broadway Assisted Living since 2013. He dedicates minimal time to this investment-related activity.
Employment History
Current Registrations
Brazos Capital
September 2017 - Present · 8 yrs 8 mos
Previous Registrations
Raymond James & Associates, INC.
February 2011 - September 2017 · 6 yrs 7 mos
Raymond James & Associates, INC.Broker
February 2011 - September 2017 · 6 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - February 2011 · 1 yr 8 mos
Morgan Stanley Smith BarneyBroker
June 2009 - February 2011 · 1 yr 8 mos
Citigroup Global Markets INC.
January 2005 - June 2009 · 4 yrs 5 mos
Citigroup Global Markets INC.Broker
January 2005 - June 2009 · 4 yrs 5 mos
Quasar Distributors, LLCBroker
October 2004 - December 2004 · 2 mos
Forum Fund Services, LLCBroker
January 2002 - September 2002 · 8 mos
State Registrations1 state
TX
Advisor
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
No exam information available for this advisor.