Leslie Woods Rich

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:

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

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
• 06/2026 → Present
  Arax Advisory Partners
  Houston, TX

Previous Registrations

• 2021-06-30 → 2026-07-21
  U.S. Capital Wealth Advisors, Llc
  Austin, TX
• 2011-01-13 → 2021-06-30
  Usca Ria Llc
  Houston, TX
• 2005-02-17 → 2011-01-21
  Ubs Financial Services Inc.
  Houston, TX
  Houston, TX

Other Businesses

1. Waylands Way; non-investment; Houston, TX; fundraising; director; 02/2012; 5hrs/month; 0 hrs/month during trading hours; overseeing/directing charitable gifts 2. Consultant; non-investment related; Houston, TX; consulting; sole proprietorship; owner; 08/2022; 5-8 hrs/month; 0 hrs during trading hours; consulting individuals going thru divorce

Exams

• S66 Uniform Combined State Law Examination
  2005-03-11
• S63 Uniform Securities Agent State Law Examination
  1999-05-01