The Capital Chart Room, Ltd (Fort Worth)

Name: The Capital Chart Room, Ltd
Address: 2821 West 7 Th Street, Fort Worth, TX, 76107 8912
Telephone: 817-801-6455

The Capital Chart Room, Ltd is a large advisory firm based in Fort Worth. It manages $168.35 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 jurisdictions of Oklahoma and Texas.

The Capital Chart Room provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and consulting. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Capital Chart Room: assets under management

The assets under management (AUM) of The Capital Chart Room, Ltd is $168.35 million. The firm's AUM has grown by 206% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $168.01 million in discretionary accounts and $335.88 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.27 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $37.32 thousand.

The Capital Chart Room has custody of $36.49 million in cash and securities for 17 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 42% of the total AUM. The second-largest asset type is investment and business development companies, which make up 22% of the firm’s portfolio. Investments in cash and cash equivalents form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Capital Chart Room, Ltd for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients The Capital Chart Room serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of The Capital Chart Room is corporations or other businesses with 20 clients and $152.51 million of assets under management. Among the 6 most similar advisory firms, The Capital Chart Room has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $168.35 million for 41 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

The Capital Chart Room doesn't advise any private funds.

Careers at The Capital Chart Room, Ltd

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives 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 compensates 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
Llc Tccr Management	General partner	1 Nov 2001	Other	75-2965339
Ltd. Tccr Holdings	Limited partner	1 Jan 2002	75% - 100%	75-2965343
Lisa Marie Brillhart	Chief compliance officer	1 Sep 2004	Other	2140990
Jeffrey Mark Holler	Chief compliance officer	1 Nov 2005	Other	1888455
Edgar J Wyngaarde	Chief compliance officer	1 Dec 2006	Other	5318299
Jeffrey Mark Holler	Chief compliance officer	1 Apr 2012	Other	1888455
David Christopher Hopkins	Chief compliance officer	1 Apr 2016	Other	4263836

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey Mark Holler	President & partnership manager	1 Jan 2002	75% - 100%	1888455

Based in Fort Worth

The principal office where The Capital Chart Room, Ltd performs its advisory services is located at 2821 West 7 Th Street, Fort Worth, TX 76107 8912, 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 817-801-6455 or by fax 817-801-6513. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at thecapitalchartroom.com/.