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Employer firm

Arax Advisory Partners CRD 133535

$26.5B regulatory AUM 16 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Arax Advisory Partners

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-19
  • TX RA
    APPROVED
    Since 2026-07-19

Branch Locations

300 West 6Th Street Suite 1900, Austin, TX 78701 • United States

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Usca Asset Management Llc

4444 Westheimer Suite G500, Houston, TX 77027 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-03-04
  • TX RA
    APPROVED
    Since 2013-03-04

Branch Locations

4444 Westheimer Suite G500, Houston, TX 77027 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Usca Securities Llc Houston TX 10/2013 Present
Us Capital Wealth Advisors Houston TX 06/2021 06/2026
Usca Asset Management Llc Houston TX 10/2013 Present
Arax Advisory Partners Austin TX 06/2026 Present
Previous Registrations
Other Businesses

1) HACIENDAS CZAR, LLC, NOT INVESTMENT RELATED, 111 PIN OAK DRIVE, BAYTOWN, TX 77520, AVOCADO PRODUCTION OPERATION, DIRECTOR/OFFICER, APPROX. 02/2015, 1-5 HOURS PER MONTH DEVOTED TO ACTIVITY, 0 HOURS DEVOTED TO ACTIVITY DURING SECURITIES TRADING HOURS. 2) COTIJA AVOCADOS LLC, NOT INVESTMENT RELATED, 2356 COMMERCE STREET, HOUSTON, TX 77003, IMPORTATION, EXPORTATION, AND COMMERCIALIZATION OF FRESH AVOCADOS FROM MEXICO, CO-CEO AND CFO, 08/2020, 20 HOURS DEVOTED TO ACTIVITY, 0 HOURS DEVOTED TO ACTIVITY DURING SECURITIES TRADING HOURS, CO-OWNER OF LLC. 4) USCA Asset Management LLC: Investment-related; Houston, TX; RIA; fund management support; director; 10/2013; 50 hrs/month; 30 hrs during trading hours; operational and investment due diligence

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-03-04
S65 Uniform Investment Adviser Law Examination 2013-03-01
  • S63 Uniform Securities Agent State Law Examination
    2022-03-04
  • S65 Uniform Investment Adviser Law Examination
    2013-03-01

View on SEC IAPD

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