Austin Calvert & Flavin Inc (San Antonio)


Austin Calvert & Flavin Inc is a large advisory firm based in San Antonio. It manages $396.7 million of regulatory assets for 141 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Texas.

Austin Calvert & Flavin provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Austin Calvert & Flavin: assets under management

The assets under management (AUM) of Austin Calvert & Flavin Inc is $396.7 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -80% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $396.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.81 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Austin Calvert & Flavin Inc 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.

Careers at Austin Calvert & Flavin Inc

Henry John Herrmann has been acting as President since 1 Aug 1999. David Arthur Halloran has served as the Chief Investment Officer since 1 Oct 2004. Julie Johnson Lewis joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Jr. Edward Hebert Austin Executive vice president and director 1 Oct 1989 Other 4344738
Jonathan Curedale Calvert Executive vice president and director 1 Oct 1989 Other 38745
Harry Meade Flavin President, director and chief investment officer 1 Oct 1989 Other 4344740
Julie Johnson Lewis Chief financial officer 1 Jan 1996 Other 4344743
Henry John Herrmann Director 1 Aug 1999 Other 1923549
Waddell & Reed Investment Management Co Shareholder 1 Aug 1999 75% - 100% 106343
Mark Patrick Buyle Secretary 1 Aug 1999 Other 2656200
Ronald Keith Calgaard Chief operating officer 1 Jan 2000 Other 4344742
Daniel Charles Schulte Assistant secretary 1 Oct 2000 Other 3096034
Sarah Calvert Chief operating officer 1 Jul 2001 Other 1384868
Sarah Calvert Doerr Chief operating officer 1 Jul 2001 Other 1384868
Cynthia Page Princefox Co-chief investment officer 1 Jan 2002 Other 1041836
Wendy Jacqueline Hills Secretary 1 Oct 2004 Other 3096057
David Arthur Halloran Chief investment officer 1 Oct 2004 Other 1455336
Cynthia Page Princefox Director 1 Feb 2006 Other 1041836
Cynthia Page Princefox Chief investment officer & director 1 Mar 2006 Other 1041836
Claude Keeran Koontz President 1 Mar 2007 Other 2775010
Julie Johnson Lewis Chief operating officer 1 Jul 2009 Other 4344743
Sarah Calvert Doerr President, chief executive officer, chief investment officer 1 Jul 2009 Other 1384868
Claude Keeran Koontz Client services and business development manager 1 Jul 2009 Other 2775010
Teri M Grubb Chief compliance officer 1 Jul 2009 Other 4798607
Inc. Ttc Holdings Holding company 1 Jul 2009 75% - 100% 74-2805349
Frederick Carl Groos Director 1 Jul 2009 Other 5720113
Charles Drake Wade Chairman 1 Jul 2009 Other 2889985
Jonathan Curedale Calvert Director 1 Jul 2009 Other 38745
Ronald Keith Calgaard Director 1 Dec 2009 Other 4344742
Stephen Martin Dufilho Chairman 1 Dec 2009 Other 5758867
Daniel Eugene Butt Director 1 Dec 2009 Other 2494770
Frank Mastrapasqua Chief investment officer, managing partner, & chairman of the board 1 Jun 2010 Other 1048619
Mauro Mallory Mastrapasqua Senior partner, director 1 Jun 2010 Other 4396127
Inc. Mastrapasqua Asset Management Sole owner 1 Jun 2010 75% - 100% 107560
Frank Nmn Mastrapasqua Chief investment officer, managing partner, & chairman of the board 1 Jun 2010 Other 1048619
Nancy Gildiz Martinez Chief compliance officer 1 Jul 2010 Other 4878160
Julie Johnson Lewis Chief compliance officer 1 Oct 2011 Other 4344743

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Frank Mastrapasqua Chairman, ceo, senior portfolio manager 1 Feb 1993 75% - 100% 1048619
Frank Nmn Mastrapasqua Chairman, ceo, senior portfolio manager 1 Feb 1993 75% - 100% 1048619
Inc. Waddell & Reed Shareholder 1 Aug 1999 75% - 100% 866
Inc. Waddell & Reed Financial Services Shareholder 1 Aug 1999 75% - 100% 43-1414157
Inc. Waddell & Reed Financial Shareholder 1 Aug 1999 75% - 100% 51-0261715

Based in San Antonio

The principal office where Austin Calvert & Flavin Inc performs its advisory services is located at 755 E. Mulberry, San Antonio, TX 78212, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 210-353-0500 or by fax 210.353.0503. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday.