Erguz, LLC (The Woodlands)

Name: Erguz, LLC
Address: 9595 Six Pines Dr., The Woodlands, TX, 77380
Telephone: 832-631-6284

Erguz, LLC is a large advisory firm based in The Woodlands. It manages $264.22 million of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Delaware and Texas.

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

Erguz: assets under management

The assets under management (AUM) of Erguz, LLC is $264.22 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -16% since the beginning of its operation, and $171.75 million of the total AUM is attributable to clients outside of the United States.

The firm manages $264.22 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.01 million each.

Investments

The firm invests in exchange traded securities the most. They account for 59% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 18% of the firm’s portfolio. Investments in cash and cash equivalents form 15% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Erguz, LLC 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.

What kind of clients Erguz serves?

The only and largest group of clients of Erguz is high net worth individuals with 22 clients and $264.22 million of assets under management. Among the 11 most similar advisory firms, Erguz has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $264.22 million for 22 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 62% of the firm’s clients are foreign persons or businesses.

Erguz doesn't advise any private funds.

Careers at Erguz, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Javier Guzman Ortiz	Managing member, cco	1 Jan 2013	75% - 100%	6202592

Based in The Woodlands

The principal office where Erguz, LLC performs its advisory services is located at 9595 Six Pines Dr., The Woodlands, TX 77380, 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 832-631-6284. The normal business hours are 9 am- 5pm on Other. You can find more information about the New York firm at erguz.com.