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.
Concorde Investment Management
Dallas, TX
Concorde Financial Corporation, CRD 105237
Firm filing updated April 13, 2026 ·
- $376.2MAssets
- 132Clients
- 3Advisory staff
- 378Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals75
- Individuals50
- Pooled vehicles6
- Investment companies1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 50 | $20.4 million |
| High net worth individuals | 75 | $289.0 million |
| Investment companies | 1 | $664,990 |
| Pooled investment vehicles (other than investment companies and business development companies) | 6 | $66.2 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "ADVISORY SERVICES TO OTHER INVESTMENT ADVISERS"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "ADVISORY SERVICES TO OTHER INVESTMENT ADVISERS"
Assets and accounts
- Regulatory assets$376.2 million
- Accounts378
- Discretionary$286.0 million · 277 accounts
- Non-discretionary$90.2 million · 101 accounts
People
- Employees6
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients1 to 10
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Concorde Financial Corporation SEC-registered investment advisor. CRD 105237, SEC file 801-16625.
- Registered with the SEC as an investment advisor (status date on record: December 1, 1981).
Is Concorde Investment Management a fiduciary?
Short answer: Concorde Investment Management 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.