A3 Capital Advisors, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 338956
· SEC file 801-134726
· Houston, TX
· www.a3capitaladvisors.com
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ADV data as of Jun 23, 2026
- Regulatory AUM
- $237M
- Discretionary
- $225M
- Clients
- 26
- Avg AUM / client
- $9.1M
- Accounts
- 63
- Employees
- 2
AUM over time
$0
$237M
Oct 2025
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 24 | $225M | 94.9% |
| Corporations and other businesses | 2 | $12.0M | 5.07% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Andrew Thomas Anton | Registered representative | Jan 2026 (1y) | ||
| Laura Hering Full | Registered representative | Feb 2026 (0y) |
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) | 06/23/2026 | 909 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
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $237M (100% of AUM) Jun 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: Jun 23, 2026.
View current Form ADV (SEC/IAPD) ↗