Robert William Frater

Employer firm

Allworth Financial, L.p. CRD 111167

$33.6B regulatory AUM

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/1983 → Present
  Houston Asset Mgt/Inv. Marketing Resourc
  Houston, TX
• 06/1983 → Present
  Self-Employed
  Houston, TX
• 01/2009 → Present
  Sagepoint Financial, Inc
  Houston, TX
• 01/2012 → 04/2020
  Ha Management, Llc
  Houston, TX
• 04/2020 → Present
  Aw Securities
  Houston, TX
• 04/2020 → Present
  Allworth Financial
  Houston, TX

Previous Registrations

• 1986-05-09 → 2020-07-13
  Houston Asset Management, Inc.
  Houston, TX

Other Businesses

1) LIFE INSURANCE SALES - 1800 W. LOOP S. STE 1980, HOUSTON, TX 77027; NON-INVESTMENT; SINCE 1982; HOURS/MO/TRADE=5; INSURANCE AGENT: REVIEW AND SELL INSURANCE. 2) OWNER/MANAGER - HA MANAGEMENT, LLC. 1800 W. LOOP S. STE 1980, HOUSTON, TX 77027; NON-INVESTMENT; SINCE 2012; HOURS/MO/TRADE=10; THIS LLC IS GENERAL PARTNER FOR INVESTMENT MARKETING RESOURCES LP 3) PARTNER - INVESTMENT MARKETING RESOURCES, LP; 1800 W. LOOP S. STE 1980, HOUSTON, TX 77027; SINCE 2012; INVESTMENT; LIMITED PARTNER - NO DUTIES HR/MO/TRADE =0. 4) PARTNERSHIP - ROCK LAKE LTD., 3 WAUSHARA CIR, MADISON, WI 53705; GENERAL PARTNER; INVESTMENT; SINCE 1995; HOURS/MO/TRADE=1; OVERLOOK FAMILY'S INVESTMENTS AND REAL ESTATE. 5) TRUST - [CUSTOMER NAME] FAMILY TRUST; 3 WAUSHARA CIR, MADISON, WI 53705; TRUSTEE; NON-INVESTMENT; SINCE 2002; HOURS/MO/TRADE=1; OVERLOOK TRUST ASSETS 6) FRATER, LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2017 ADDRESS: 4244 Sprecher Road, Madison WI 53718, United States DESCRIPTION: My brother and I bought a warehouse. he is renting out part of it and we are storing some of our personal things in part of it 7) TRUSTEE POSITION: owner/ trustee NATURE: Family Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/25/2002 ADDRESS: 1225 HARVARD ST, Houston TX 77008, United States; DESCRIPTION: [CUSTOMER NAME] Family Trust - owns residential and agricultural Real Estate in Texas and Wisconsin and a brokerage acct [ACCOUNT NO.] 8)Board of Directors - Houston Center for Musical Arts - I manage the funds for The Rotary Club of Houston Heights Charitable Foundation (RF). The RF has loaned money to the Houston CMA to purchase a historic structure in our neighborhood and renovate it into a music center as well as a home for the Rotary Club. I am not on the BOD of the RF or the Rotary Club. Not investment related and no compensation is earned, with no financial interest in this OBA

Exams

• S63 Uniform Securities Agent State Law Examination
  1981-09-30

Designations

• Certified Financial Planner

Other Names

• Bob Frater