AdvisorCensus / Financial advisors / Texas / Dallas / Concorde Investment Management
Concorde Investment Management
Filed as CONCORDE INVESTMENT MANAGEMENT · Legal name Concorde Financial Corporation
Concorde Investment Management is an SEC-registered investment advisory firm in Dallas, TX, registered since 1981, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 13, 2026.
Quick answers
From the filingHow is Concorde Investment Management compensated?
On its Form ADV (Item 5.E, October 2026), Concorde Investment Management reports these compensation arrangements: a percentage of assets under its management; hourly charges.
How much does Concorde Investment Management charge?
Its Form ADV Part 2A brochure dated April 13, 2026 states: Hourly rate: $150 an hour (Clerical and Administrative). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Concorde Investment Management located?
Concorde Investment Management's principal office is in Dallas, TX, according to its Form ADV.
Is Concorde Investment Management registered with the SEC or a state?
Concorde Investment Management is an SEC-registered investment advisory firm, registered since 1981. Status as filed: Approved. CRD 105237.
How much does Concorde Investment Management manage?
Concorde Investment Management reports $376,213,522 in regulatory assets under management in its Form ADV filing dated April 13, 2026 (76% discretionary).
How have Concorde Investment Management's assets and staff changed since 2021?
In the Form ADV data for Concorde Investment Management: Regulatory assets under management: $355,519,167 in the October 2021 data and $376,213,522 in the October 2026 data, up 6%. Total employees: 5 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Concorde Investment Management serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (75); individuals (other than high net worth individuals) (50); pooled investment vehicles (other than investment companies and business development companies) (6).
Which custodians does Concorde Investment Management use?
Concorde Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of America, Fidelity Brokerage Services LLC and US Bank as custodians holding 10% or more of its separately managed account assets.
Does Concorde Investment Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105237
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Hourly rate: $150 an hour (Clerical and Administrative)
The brochure's wording
Financial advisory fees are based on time spent at hourly rates indicated below and are billed monthly after services are performed. • Clerical and Administrative $150 per hour
As stated in the firm's Form ADV Part 2A brochure dated April 13, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$376,213,522 as of October 2026, filing dated April 13, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other
Registration and firm details
Items 1, 2, 5- Legal name
- Concorde Financial Corporation
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1981 (44 years)
- Employees
- Total: 6. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $376,213,522 | 6 | April 13, 2026 |
| October 2025 | $402,221,544 | 5 | March 28, 2025 |
| October 2024 | $358,710,823 | 5 | March 28, 2024 |
| October 2023 | $341,241,381 | 5 | March 31, 2023 |
| October 2022 | $365,712,245 | 5 | March 31, 2022 |
| October 2021 | $355,519,167 | 5 | April 29, 2021 |
Regulatory assets under management: $355,519,167 in the October 2021 data and $376,213,522 in the October 2026 data, up 6%.
Total employees: 5 in October 2021 and 6 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Concorde Investment Management (CRD 105237): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/concorde-investment-management-dallas-tx-105237