Concorde Financial Corporation
- Regulatory AUM
- $376M
- Discretionary
- $286M
- Clients
- 132
- Avg AUM / client
- $2.9M
- Accounts
- 378
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Apr 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 50 | $20.4M | 5.42% |
| High net worth individuals | 75 | $289M | 76.8% |
| Investment companies | 1 | $665K | 0.18% |
| Pooled investment vehicles (non-investment companies) | 6 | $66.2M | 17.6% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gary Brent Wood | Managing Director And President | Oct 1981 (45y) | 50% – 75% | |
| Gregory Brent Wood | Managing Director And Chief Compliance Officer | Sep 2014 (12y) | 25% – 50% | |
| John Arthur Stetter | Registered representative | Jun 2004 (22y) | ||
| Barbara Elizabeth Spicer | Registered representative | Jan 2024 (3y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/13/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $263M (70% of AUM) Apr 2026
- U.S. Bank $42.5M (11% of AUM) Apr 2026
- Bank Of America, National Association $748K (0% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 13, 2026.
View current Form ADV (SEC/IAPD) ↗