Nautical Star Financial Group Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 316426
· Las Colinas, TX
· www.facebook.com
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ADV data as of Mar 19, 2026
- Regulatory AUM
- $57.4M
- Discretionary
- $45.6M
- Clients
- 75
- Avg AUM / client
- $765K
- Accounts
- 168
- Employees
- 5
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 49 | $11.4M | 19.9% |
| High net worth individuals | 23 | $33.1M | 57.7% |
| Pension and profit sharing plans | 1 | $9.0M | 15.6% |
| Charitable organizations | 1 | $1.0M | 1.79% |
| Corporations and other businesses | 1 | $2.8M | 4.96% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lance Eric Peters | Registered representative | Nov 2021 (5y) | ||
| Ralph Edward Smith | Registered representative | Jan 2024 (3y) | ||
| Susan D Marshall | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Robert Mc Kay | Registered representative | Dec 2025 (1y) |
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) | 03/19/2026 | 1020 KB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $42.5M (74% of AUM) Mar 2026
- Empower Trust Co $9.0M (16% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 19, 2026.
View current Form ADV (SEC/IAPD) ↗