Doliver Capital Advisors, L.P. (Houston)

Name: Doliver Capital Advisors, L.P.
Address: 6363 Woodway, Houston, TX, 77057
Telephone: 713-917-0022

Doliver Capital Advisors, L.P. is a large advisory firm based in Houston. It manages $433.05 million of regulatory assets for 299 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of California, Florida, Ohio, and Texas.

Doliver Capital Advisors provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Doliver Capital Advisors: assets under management

The assets under management (AUM) of Doliver Capital Advisors, L.P. is $433.05 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 169% since the beginning of its operation, and $1.14 million of the total AUM is attributable to clients outside of the United States.

The firm manages $433.05 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.45 million each.

Investments

The firm invests in cash and cash equivalents the most. They account for 44% of the total AUM. The second-largest asset type is exchange traded securities, which make up 39% of the firm’s portfolio. Investments in investment and business development companies form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Doliver Capital Advisors, L.P. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Doliver Capital Advisors serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Doliver Capital Advisors is high net worth individuals with 149 clients and $169.29 million of assets under management. Among the 6 most similar advisory firms, Doliver Capital Advisors has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $249.91 million for 294 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Doliver Capital Advisors doesn't advise any private funds.

Careers at Doliver Capital Advisors, L.P.

The company employs 11 people that are either part- or full-time employees. 45 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ralph Denneth Mcbride	Owner / limited partner	1 Mar 2005	75% - 100%	4343816
Paul Bundy Thompson	Chief compliance officer	1 Mar 2005	Other	1334491
Doliver Llc	General partner	1 Dec 2005	Other	76-0653253
Susan Elizabeth Fonteno	Chief compliance officer	1 Aug 2006	Other	4871013
Edward Coe Tredennick	Chief compliance officer	1 Jan 2010	Other	5725293
Blake Robert Burr	Chief compliance officer	1 Nov 2012	Other	6027083
Edward Coe Tredennick	Vice president, general counsel and chief compliance officer	1 May 2013	Other	5725293
Charles Keithley Ward	Chief compliance officer	1 Mar 2016	Other	4632946

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ralph Denneth Mcbride	Sole member & manager	1 Aug 2000	75% - 100%	4343816

Based in Houston

The principal office where Doliver Capital Advisors, L.P. performs its advisory services is located at 6363 Woodway, Houston, TX 77057, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-917-0022 or by fax 713-917-0033. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at doliveradvisors.com and its LinkedIn profile.