U.S. Capital Wealth Advisors, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 288199
· SEC file 801-110515
· Houston, TX
· www.linkedin.com
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $8.8B
- Discretionary
- $6.6B
- Clients
- 4,536
- Avg AUM / client
- $1.9M
- Accounts
- 11,385
- Employees
- 141
AUM over time
$0
$8.8B
Dec 2016
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Investments (13F portfolio — 1,000 positions, $3,976,470,491)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Nvidia Corporation | COM | $107,489,372 | 616,338 | 2.7% | 1.23% |
| 2 | State Str Spdr S&P 500 Etf T | TR UNIT | $100,901,477 | 155,152 | 2.54% | 1.15% |
| 3 | Apple Inc | COM | $100,882,652 | 397,504 | 2.54% | 1.15% |
| 4 | Highpeak Energy Inc | COM | $95,807,687 | 13,885,172 | 2.41% | 1.09% |
| 5 | Etf Ser Solutions | CLERSHS PITON IN | $94,893,580 | 1,007,609 | 2.39% | 1.08% |
| 6 | Enterprise Prods Partners L | COM | $86,155,112 | 2,286,743 | 2.17% | 0.98% |
| 7 | Microsoft Corp | COM | $51,146,153 | 138,169 | 1.29% | 0.58% |
| 8 | Exxon Mobil Corp | COM | $50,175,636 | 295,742 | 1.26% | 0.57% |
| 9 | Invesco Qqq Tr | UNIT SER 1 | $49,281,285 | 85,383 | 1.24% | 0.56% |
| 10 | Amazon Com Inc | COM | $45,504,677 | 218,489 | 1.14% | 0.52% |
| 11 | Alphabet Inc | CAP STK CL C | $44,807,324 | 156,199 | 1.13% | 0.51% |
| 12 | Chevron Corporation | COM | $43,170,640 | 208,655 | 1.09% | 0.49% |
| 13 | Ishares Tr | CORE S&P500 ETF | $43,148,708 | 66,056 | 1.09% | 0.49% |
| 14 | Rtx Corporation | COM | $40,539,009 | 210,156 | 1.02% | 0.46% |
| 15 | Palantir Technologies Inc | CL A | $38,815,073 | 274,561 | 0.98% | 0.44% |
| 16 | Johnson & Johnson | COM | $38,441,358 | 157,263 | 0.97% | 0.44% |
| 17 | Mplx Lp | COM UNIT REP LTD | $32,962,563 | 577,581 | 0.83% | 0.38% |
| 18 | Bank America Corp | COM | $32,585,608 | 668,423 | 0.82% | 0.37% |
| 19 | Walmart Inc | COM | $32,347,751 | 260,281 | 0.81% | 0.37% |
| 20 | Broadcom Inc | COM | $31,582,243 | 102,039 | 0.79% | 0.36% |
| 21 | Alphabet Inc | CAP STK CL A | $31,074,141 | 108,061 | 0.78% | 0.35% |
| 22 | Vanguard Index Fds | TOTAL STK MKT | $30,291,886 | 94,423 | 0.76% | 0.35% |
| 23 | Energy Transfer L P | COM UT LTD PTN | $29,401,771 | 1,523,408 | 0.74% | 0.34% |
| 24 | Etf Ser Solutions | CLEARSHS ULTRA | $29,397,391 | 293,739 | 0.74% | 0.34% |
| 25 | Freeport Mcmoran Inc | CL B | $26,256,223 | 446,686 | 0.66% | 0.3% |
Top 25 of 1,000 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,520 | $859M | 9.8% |
| High net worth individuals | 1,875 | $7.4B | 83.9% |
| Pension and profit sharing plans | 29 | $51.7M | 0.59% |
| Charitable organizations | 22 | $126M | 1.44% |
| Corporations and other businesses | 90 | $373M | 4.26% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Aug 2024 · $19.9M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Usc Wealth Private Credit Series feeder | Other Private Fund | Delaware | $19.9M | 89 |
People (93)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sheridan, Wilhelmina, Elizabeth | Chief Operations Officer | Oct 2018 (8y) | Less than 5% | |
| Jon P Meyer | Chief Compliance Officer | Nov 2018 (8y) | Less than 5% | |
| James Patrick Fortescue | Managing Partner | Aug 2019 (7y) | 5% – 10% | |
| Patrick Michael Mendenhall | Co Managing Partner | May 2021 (5y) | 5% – 10% | |
| Dejonckheere, Kasey, Lizann | Chief Financial Officer | Aug 2022 (4y) | Less than 5% | |
| Bowling, Elizabeth, Courtney | Director Of Legal And Compliance | Apr 2023 (3y) | Less than 5% | |
| Kelly Ryan Cooper | Registered representative | CFP | Jun 2017 (9y) | |
| Kenneth Dale Cooper | Registered representative | Jan 2018 (9y) | ||
| Chase William Abshier | Registered representative | Sep 2018 (8y) | ||
| Alba Caridad Sandoval | Registered representative | Jun 2021 (5y) | ||
| Amanda Ton | Registered representative | Jun 2021 (5y) | ||
| Ashley Winkler Giles | Registered representative | CFP | Jun 2021 (5y) | |
| Barry Stephen Guinn | Registered representative | Jun 2021 (5y) | ||
| Bradley Robert Miller | Registered representative | Jun 2021 (5y) | ||
| Bradley Shannon Shields | Registered representative | Jun 2021 (5y) | ||
| Brian Ching | Registered representative | Jun 2021 (5y) | ||
| Charles Trask Dix | Registered representative | Jun 2021 (5y) | ||
| Christian Chance Bauman | Registered representative | CFP | Jun 2021 (5y) | |
| Clayton Allen Fisher | Registered representative | CFP | Jun 2021 (5y) | |
| Clifford Ray Mctee | Registered representative | CFP | Jun 2021 (5y) | |
| Courtney S Watson | Registered representative | Jun 2021 (5y) | ||
| Daniel Wayne Vickery | Registered representative | Jun 2021 (5y) | ||
| David Lee Solomon | Registered representative | Jun 2021 (5y) | ||
| David Michael King | Registered representative | Jun 2021 (5y) | ||
| Davis Kelly Rushing | Registered representative | Jun 2021 (5y) | ||
| Deborah Ann Palmer | Registered representative | Jun 2021 (5y) | ||
| Debra Schaper Parant | Registered representative | CFA | Jun 2021 (5y) | |
| Denise Lynne Clifton | Registered representative | Jun 2021 (5y) | ||
| Derek Su | Registered representative | Jun 2021 (5y) | ||
| Edward Randall | Registered representative | Jun 2021 (5y) | ||
| Elisa C Flores | Registered representative | Jun 2021 (5y) | ||
| Gayle Ann Terry | Registered representative | Jun 2021 (5y) | ||
| Gil Aaron Beer | Registered representative | Jun 2021 (5y) | ||
| Gregory Todd Lavergne | Registered representative | Jun 2021 (5y) | ||
| Idania Danielle Reyes | Registered representative | Jun 2021 (5y) | ||
| James Fountain Gilley Jr | Registered representative | Jun 2021 (5y) | ||
| Jessie Timmins | Registered representative | Jun 2021 (5y) | ||
| John Austin Howle | Registered representative | Jun 2021 (5y) | ||
| John Leonard Tubbs | Registered representative | Jun 2021 (5y) | ||
| John Olwyn Dix | Registered representative | Jun 2021 (5y) | ||
| Julieta H Sandoval | Registered representative | Jun 2021 (5y) | ||
| Karee Hoffman Sampson | Registered representative | Jun 2021 (5y) | ||
| Karen Elizabeth Frankfort | Registered representative | Jun 2021 (5y) | ||
| Kelly Albert Rushing | Registered representative | Jun 2021 (5y) | ||
| Kim Ha T Nguyen | Registered representative | CFP | Jun 2021 (5y) | |
| Kimberly Ripoll | Registered representative | CFP | Jun 2021 (5y) | |
| Leslie Woods Rich | Registered representative | Jun 2021 (5y) | ||
| Matthew Brooke West | Registered representative | Jun 2021 (5y) | ||
| Megan Nicole Price | Registered representative | Jun 2021 (5y) | ||
| Morris Scott Gottesman | Registered representative | Jun 2021 (5y) | ||
| Nathaniel Wayne Galloway | Registered representative | Jun 2021 (5y) | ||
| Nicholas Laws Erwin | Registered representative | CFP | Jun 2021 (5y) | |
| Patricia Sue Trieglaff | Registered representative | Jun 2021 (5y) | ||
| Philip John Pilibosian | Registered representative | Jun 2021 (5y) | ||
| Rachel Marie Brown | Registered representative | CFP | Jun 2021 (5y) | |
| Randall Shawn Jones | Registered representative | Jun 2021 (5y) | ||
| Robert David Bourland | Registered representative | Jun 2021 (5y) | ||
| Ryan C Ringuet | Registered representative | Jun 2021 (5y) | ||
| Scott Michael Selzer | Registered representative | Jun 2021 (5y) | ||
| Thomas Conrad Carman | Registered representative | CFP | Jun 2021 (5y) | |
| Timothy Vaughn Myers | Registered representative | Jun 2021 (5y) | ||
| Titus Holliday Harris | Registered representative | Jun 2021 (5y) | ||
| William Richard Hurt | Registered representative | Jun 2021 (5y) | ||
| Yona S Reaux | Registered representative | Jun 2021 (5y) | ||
| Bryan Lee Prihoda | Registered representative | Jan 2022 (5y) | ||
| Jesse Charles Isensee | Registered representative | Apr 2022 (4y) | ||
| Stephen James Tolbert | Registered representative | May 2022 (4y) | ||
| Deborah L Ray | Registered representative | Aug 2022 (4y) | ||
| Daniel Joseph Sexton | Registered representative | Oct 2022 (4y) | ||
| Tammy Nguyen Lee | Registered representative | CFP | Dec 2022 (4y) | |
| Bradley Alan Slater | Registered representative | Jun 2023 (3y) | ||
| Peyton Louis Denney | Registered representative | Apr 2024 (2y) | ||
| Samuel D Parker Jr. | Registered representative | Jun 2024 (2y) | ||
| Romelia Lizeth Legg | Registered representative | Sep 2024 (2y) | ||
| Ben Meadows | Registered representative | Oct 2024 (2y) | ||
| John Mcdermott | Registered representative | Jan 2025 (2y) | ||
| Keith Hassan | Registered representative | Jan 2025 (2y) | ||
| Enrique Araiza | Registered representative | Jan 2025 (2y) | ||
| John Walter Cross | Registered representative | Jan 2025 (2y) | ||
| Stephan M Farber | Registered representative | Jan 2025 (2y) | ||
| Lavada Fulgham Waters | Registered representative | Jan 2025 (2y) | ||
| Larissa Anna Poindexter | Registered representative | Mar 2025 (1y) | ||
| Mary Margaret Bauman | Registered representative | Jul 2025 (1y) | ||
| Aaron Salgado | Registered representative | Oct 2025 (1y) | ||
| Taylor Parsons | Registered representative | Nov 2025 (1y) | ||
| Blake Daniel Mctee | Registered representative | Dec 2025 (1y) | ||
| Roman Feagins Reed | Registered representative | Dec 2025 (1y) | ||
| Jake Isaiah Given | Registered representative | Jan 2026 (1y) | ||
| Joshua Lavergne | Registered representative | Feb 2026 (0y) | ||
| Caleb Daniel La Vergne | Registered representative | Feb 2026 (0y) | ||
| Deborah Tinnell Ellis | Registered representative | Mar 2026 (0y) | ||
| Lawrence G Mcneill | Registered representative | May 2026 (0y) | ||
| Richard Edmund Kash | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| U.S. Capital Wealth, Llc | Owner | Apr 2024 | A | 75% or more |
| Arax Wealth Management, Llc | Member | Feb 2024 | B | ≈ 56.25% – 100% via U.S. Capital Wealth, Llc |
| Arax Midco, Llc | Member | Jun 2023 | B | ≈ 42.19% – 100% via Arax Wealth Management, Llc |
| Arax Investment Partners, Llc | Member | Jun 2023 | B | ≈ 31.64% – 100% via Arax Midco, Llc |
| Arax Business Trust | Member | Mar 2023 | B | ≈ 23.73% – 100% via Arax Investment Partners, Llc |
| Redbird Capital Partners Fund Iv Gen Par, Llc | Trustee | Jan 2023 | B | GP / trustee / elected manager of Arax Business Trust (indirect) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Arax Wealth Management, Llc: 75% – 100% of U.S. Capital Wealth, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Arax Midco, Llc: 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of U.S. Capital Wealth, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Arax Investment Partners, Llc: 75% – 100% of Arax Midco, Llc × 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of U.S. Capital Wealth, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Arax Business Trust: 75% – 100% of Arax Investment Partners, Llc × 75% – 100% of Arax Midco, Llc × 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of U.S. Capital Wealth, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
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.
Private funds (1, $19.9M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Usc Wealth Private Credit Series | Other Private Fund | $19.9M | $100K | 89 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.51 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $5.8B (66% of AUM) Mar 2026
- Charles Schwab & Co. $2.2B (25% 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗