David Michael King

Current Employers

Employment History

• 01/2011 → 06/2021
  Usca Ria Llc
  Houston, TX
• 01/2011 → Present
  Usca Securities Llc
  Houston, TX
• 06/2021 → 06/2026
  U.S. Capital Wealth Advisors, Llc
  Austin, TX
• 10/2017 → Present
  Usca Asset Management Llc
  Houston, TX
• 06/2026 → Present
  Arax Advisory Partners
  Houston, TX

Previous Registrations

• 2021-06-30 → 2026-07-21
  U.S. Capital Wealth Advisors, Llc
  Austin, TX
• 2016-03-29 → 2021-08-24
  Usca Asset Management Llc
  Houston, TX
• 2011-01-13 → 2021-06-30
  Usca Ria Llc
  Houston, TX
• 2002-07-03 → 2011-01-21
  Ubs Financial Services Inc.
  Houston, TX
  Houston, TX

Other Businesses

1. Badger Midstream Energy, LP is investment-related and located in Houston, TX. Has served as a director for an energy-related entity since 2012 and duties include voting, approval of budget and other activities. Spends about 2.5 hours per month on this activity, 1.5 hours are during securities trading hours. 2. 13 Capital, LLC is investment-related and located in Austin, Texas. Has served as a Managing Partner for this investment adviser responsible for 13Capital Energy Transition Fund 1 since 2022, and duties include overseeing the Fund and its investments. Spends about 12 hours a month on this activity, 8 of those hours during securities trading hours. 3. USCA Investment Holdings is investment-related and located in Houston, TX. Has served as Managing Partner for this entity which oversees multiple feeder funds previously offered since 2012 and duties include overseeing the management of the entity. Spends about 6 hours a month on this activity, 4 of those during securities trading hours. 4. USCA Asset Management, LLC is investment-related and located in Houston, TX. Has served as Managing Partner of this SEC registered investment advisor since 2018 and duties include overseeing the management of the entity. Spends about 4 hours per month on this activity, 3 of those hours during securities trading hours. 5. USCA, LLC is investment-related and located in Houston, TX. Has served as Managing Partner for this parent company of USCA Asset Management and USCA Investment Holdings since 2009 and duties include overseeing the management of the entity. Spends about 25 hours a month on this activity, 15 of those during securities trading hours. 6. USCA Futurum Fund is investment-related and is located in Houston, TX. Has served as Portfolio Manager for this private fund since 2022 and duties include overseeing the Fund and its investments. Spends about 12 hours a month on this activity, 8 of those hours are during securities trading hours. 7. Arena Blanco is not investment-related and located in Houston, TX. Has served as Owner of this rental property since 2017 and duties include the management of the property. Spends about 6 hours a month on this activity, not during securities trading hours. 8. Energy Transition Venture Fund 1 Advisory Committee is investment-related and located in Houston, TX. Has served as a Member of the LPAC for ETV Fund 1, a venture capital fund, since 2022 and duties include voting on matters brought before the LPAC. Spends less than an hour a month on this activity, none during securities trading hours. 9. Southpaw Interests, LLC, is investment-related and located in Houston, TX. Has served as Managing Member since 2021 and duties include making personal investments in this LLC. Spends about 2 hours a month on this activity, during securities trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-08-25
• S63 Uniform Securities Agent State Law Examination
  1994-03-08