Tectonic Advisors Llc
- Regulatory AUM
- $5.1B
- Discretionary
- $4.8B
- Clients
- 2,377
- Avg AUM / client
- $2.2M
- Accounts
- 9,259
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,513 | $442M | 8.59% |
| High net worth individuals | 723 | $2.3B | 45.5% |
| Pooled investment vehicles (non-investment companies) | 1 | $2.2B | 43.7% |
| Pension and profit sharing plans | 137 | $112M | 2.17% |
| Charitable organizations | 3 | $5.3M | 0.1% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cain, Darrell, Ward | Chairman | May 2005 (21y) | Less than 5% | |
| Paul Douglas Lyons | Senior Managing Director | CFP | Jan 2006 (21y) | Less than 5% |
| Arthur Haag Sherman | Ceo And Cio | Feb 2015 (12y) | Less than 5% | |
| Baird, Michelle, Bartoe | Chief Financial Officer | Feb 2015 (12y) | Less than 5% | |
| Mangold, Stephen, Michael | Chief Compliance Officer | Nov 2019 (7y) | Less than 5% | |
| Brad Robert Sanders | Registered representative | CFA | Mar 2009 (17y) | |
| Carla Parisi Keck | Registered representative | Aug 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Tectonic Financial, Inc. | Parent Company | May 2019 | A | 75% or more |
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) | 03/30/2026 | 1.23 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $2.9B (56% of AUM) Mar 2026
- T Bank, Na $2.2B (44% of AUM) Mar 2026
- Neuberger Berman Bd Llc $14.6M (1% of AUM) Mar 2018
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: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗