SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
A3 Capital Advisors
Houston, TX
A3 Capital Advisors, LLC, CRD 338956
Firm filing updated June 23, 2026 ·
- $236.8MAssets
- 1Advisory staff
- 63Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals24
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 24 | $224.8 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $12.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Other: "CONSULTING SERVICES"
- Portfolio management for individuals and/or small businesses
- Other: "CONSULTING SERVICES"
Assets and accounts
- Regulatory assets$236.8 million
- Accounts63
- Discretionary$225.3 million · 61 accounts
- Non-discretionary$11.5 million · 2 accounts
People
- Employees2
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: A3 Capital Advisors, LLC SEC-registered investment advisor. CRD 338956, SEC file 801-134726.
- Registered with the SEC as an investment advisor (status date on record: November 19, 2025).
Is A3 Capital Advisors a fiduciary?
Short answer: A3 Capital Advisors is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.