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INVESTORTRUST HUB

InvestorTrustHub · Texas

Texas Investment Adviser & Securities Intelligence

This page organizes federal SEC/IARD facts for firms that report a Texas principal office, plus official Texas State Securities Board verification and filing paths. It does not rank advisers, score firms, or publish a Trust Score. A Texas principal office is not Texas state registration.

We organize the evidence. You decide.

Research TX-headquartered SEC/IARD firmsVerify a Texas registration at SSB

State of the record

Universe · Current · Observations · Geography · As-of

1,302

Universe

SEC/IARD firms with a TX principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = TX

Calculation. COUNT of roster firms with principal-office region TX = 1302

Caveat. This is the national SEC/IARD roster overlay for firms that report a Texas principal office. It is not the Texas state-registered adviser universe, not a complete Texas adviser count, and not proof of current Texas State Securities Board authority. TX PRINCIPAL OFFICE != TEXAS STATE REGISTRATION.

UNKNOWN

Current

Complete Texas state-RIA count. Bulk roster is SOURCE_NOT_ACQUIRED.

Trace this number

Source. https://www.ssb.texas.gov/securities-professionals/certificate-search

Source date. 2026-09-04

Coverage. SOURCE_NOT_ACQUIRED

Grain. state-registered adviser

Calculation. No official bulk file was acquired. Missing is unknown, not zero.

Caveat. No official Texas state-RIA bulk CSV/XLSX/API was acquired. Certificate search is official and search-only. Do not estimate the missing state roster from SEC principal-office geography. Do not scrape the search.

SOURCE_NOT_ACQUIRED

Observations

Structured SSB enforcement bulk rows in this snapshot. Missing is not zero.

Trace this number

Source. https://www.ssb.texas.gov/news-publications/enforcement-actions-administrative

Source date. 2026-09-04

Coverage. NO_BULK_ACQUIRED

Grain. not acquired as bulk

Calculation. Bounded pass found a paginated HTML index and PDF orders, not a CSV.

Caveat. SSB publishes a paginated HTML administrative-action index and PDF orders. That is not a structured bulk CSV/JSON extract and was not harvested page-by-page. Notice of hearing is not a final disposition. Accusation is not a final finding. Order count is not quality. Name-only attachment is unsafe. Missing is unknown, not zero.

TX

Geography

Principal-office region overlay. Not service territory and not a county page.

2026-08-27

As-of

SEC/IARD compilation IA_FIRM_SEC_Feed_08_27_2026.

Trace this number

Source. Committed TX-INV-001 public snapshot

Source date. 2026-09-04

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 227c59ce0b906a33…

Caveat. Numbers on this page must match the generated snapshot.

What the sources say

Texas evidence findings

FEDERAL GEOGRAPHY

1,302 SEC/IARD roster firms report a Texas principal office

That is 7.23% of roster firms with a resolved principal-office region (17,997). It is not Texas licensed advisers.

CLASS SEPARATION

National roster: 17,018 RIA facts and 6,604 ERA facts

National roster keeps RIA (17,018) and ERA (6,604) separate. Committed geography is on the combined roster. Texas principal-office counts are not an RIA-only or ERA-only state denominator. ERA is not an RIA. SEC RIA is not a Texas state RIA.

STATE GAP

Texas state-RIA bulk roster is SOURCE_NOT_ACQUIRED

Complete state-RIA count is UNKNOWN. Do not fill that gap with the 1,302 principal-office overlay. Verify a Texas registration on the official SSB certificate search using CRD/IARD or a Texas file number.

ENFORCEMENT COVERAGE

SSB administrative actions are a public HTML index, not a bulk roster

Official orders appear on a paginated news listing with native classes such as consent order, emergency cease and desist, reprimand, suspension, revocation, and notice of hearing. That index was not harvested. Name-only attachment is unsafe.

Find advisers

Federal research and Texas state verification stay separate

Regulator map

What each credential proves

SEC RIA is not a state RIA. CRD identity is not current Texas authority.
CredentialRegulatorWhat it provesWhat it does not prove
SEC-registered investment adviserU.S. Securities and Exchange Commission / IARDFederal registration category as reported on Form ADV in the cited extractTexas State Securities Board state-RIA registration or current Texas notice-filing status
Exempt reporting adviser (ERA)SEC / IARD (and Texas notice under Board Rule §139.23 when applicable)ERA reporting status in the cited extractSEC RIA registration or Texas state-RIA registration
Texas state-registered investment adviserTexas State Securities BoardTexas investment-adviser certificate when the official SSB record says soSEC registration. Principal-office geography is not this credential.
Investment adviser representativeTexas State Securities Board / CRDIndividual representative reporting when official CRD/SSB evidence existsFirm certificate. Person CRD is not firm CRD.
Broker-dealer / securities agentTexas State Securities Board / FINRA / CRDBroker-dealer or agent registration when official evidence existsInvestment-adviser registration
Issuer / securities filingTexas State Securities BoardA registration, exemption, or notice-filing posture when the official filing record says soInvestment quality or Form D approval
CRD / IARD identifierFINRA CRD / IARD infrastructureA stable identity key when source-nativeCurrent Texas authority by itself

Issuer / securities filings

Official Texas research paths

Texas Securities Act (Texas Government Code Title 12) administered by the Texas State Securities Board — securities registration, exemptions, notice filings, dealer/agent registration, and investment-adviser/IAR registration. Federal Form D is not Texas qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired.

  • Professionals / registration: SSB securities professionals
  • Act and Board rules: official rules index
  • Electronic rulebook (2026-03-26): official PDF
  • Board Rule §139.23 private-fund adviser exemption; ERA/Texas notice via Form ADV Item 2.C when applicable.
  • Bulk issuer dataset: SOURCE_NOT_ACQUIRED
  • Federal Form D overlay: SOURCE_NOT_ACQUIRED. FORM D FILING != TEXAS STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.

Exam / guidance

Qualification exams and current rule text, not a firm scorecard

Texas publishes qualification-exam rules (Series 65/66 and related waivers, including NASAA EVEP recognized March 13, 2025) and a current electronic rulebook. That is individual qualification guidance, not a public firm-level examination scorecard. Guidance is not enforcement and is not a quality score.

Official exam-waiver page: EVEP, MQP, and other waivers. Investor education stays educational: SSB news and publications. Alerts are not firm adverse evidence unless an exact official respondent identity and disposition are present.

Public contacts

No Texas search scrape

Official/public business sources only. No internet enrichment. No SSB search scrape. No person contact publication.

Used only as geography for the SEC/IARD overlay; not republished here as a harvested directory.

Evidence depth

Source families

Coverage describes availability. Missing is unknown, not zero.
FamilyAgencyAs ofGrainCount / rowsLimitations
SEC/IARD RIA (national)SEC / IARD2026-08-27Form ADV / IARD firm fact17,018National class. Not a Texas state-RIA count.
ERA (national)SEC / IARD2026-08-27ERA reporting fact6,604ERA is not an RIA.
TX principal-office overlaySEC / IARD2026-08-27SEC IARD roster firm with principal-office region = TX1,302This is the national SEC/IARD roster overlay for firms that report a Texas principal office. It is not the Texas state-registered adviser universe, not a complete Texas adviser count, and not proof of current Texas State Securities Board authority. TX PRINCIPAL OFFICE != TEXAS STATE REGISTRATION.
Texas state IA searchTexas State Securities Board2026-09-04search resultUNKNOWNNo official Texas state-RIA bulk CSV/XLSX/API was acquired. Certificate search is official and search-only. Do not estimate the missing state roster from SEC principal-office geography. Do not scrape the search.
Texas enforcementTexas State Securities Board2026-09-04paginated HTML index / PDFnot acquired as bulkSSB publishes a paginated HTML administrative-action index and PDF orders. That is not a structured bulk CSV/JSON extract and was not harvested page-by-page. Notice of hearing is not a final disposition. Accusation is not a final finding. Order count is not quality. Name-only attachment is unsafe. Missing is unknown, not zero.
FINRA BrokerCheck / CRDFINRAn/aofficial searchnot scrapedBroker-dealer is not an investment adviser. CRD is not current Texas authority.
Issuer / securities filingTexas State Securities Board2026-03-26statute / rule / notice filingSOURCE_NOT_ACQUIRED bulkFederal Form D is not Texas qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired.
Form DSEC2026-09-04not in committed productSOURCE_NOT_ACQUIREDFORM D FILING != TEXAS STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.
Exam / guidanceTexas State Securities Board2025-03-13qualification exam / rule textno firm-level public scorecardTexas publishes qualification-exam rules (Series 65/66 and related waivers, including NASAA EVEP recognized March 13, 2025) and a current electronic rulebook. That is individual qualification guidance, not a public firm-level examination scorecard. Guidance is not enforcement and is not a quality score.
Investor alertsTexas State Securities Board2026-09-04consumer educationnot firm adverse evidenceAlerts are not attached to firm profiles without exact respondent identity.

What we don't yet know

Missing sources block a metric, not this page

  • Complete Texas state-RIA denominator is UNKNOWN.
  • Complete Texas IAR universe is UNKNOWN.
  • Complete Texas broker-dealer state roster is UNKNOWN.
  • Exact SSB registration status is not known for every SEC/IARD firm with a TX principal office.
  • Committed geography is not split into TX RIA vs TX ERA.
  • No structured SSB enforcement bulk extract was acquired.
  • No Form D Texas overlay is in the committed product.
  • No statewide issuer bulk denominator was acquired.
  • TX PRINCIPAL OFFICE != TX STATE REGISTRATION
  • SEC RIA != STATE RIA
  • ERA != REGISTERED RIA
  • CRD IDENTITY != CURRENT TEXAS AUTHORITY
  • BROKER-DEALER != INVESTMENT ADVISER
  • FORM D != TEXAS APPROVAL
  • FORM D != INVESTMENT QUALITY
  • ORDER COUNT != QUALITY
  • MISSING != ZERO
  • NO TRUST SCORE
  • NO PAID RANKING