# Concorde Investment Management

> 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.

- CRD: 105237
- Filed as: CONCORDE INVESTMENT MANAGEMENT
- Legal name: Concorde Financial Corporation
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: April 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105237
- AdvisorCensus page: https://advisorcensus.com/firm/concorde-investment-management-dallas-tx-105237

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated April 13, 2026)

- Hourly rate: $150 an hour (Clerical and Administrative)

> 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 brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Bank of America
- Fidelity Brokerage Services LLC
- US Bank

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.

### Regulatory assets under management (Item 5.F)
- Total: $376,213,522
- Discretionary: $286,014,402
- Non-discretionary: $90,199,120

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 50 | $20,372,396 |
| High net worth individuals | 75 | $288,961,234 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $664,990 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 6 | $66,214,902 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### 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

### Firm details
- Registered since: 1981 (44 years)
- Employees: 6 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, NC, NE, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- concordeco.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $355,519,167 | 5 | April 29, 2021 |
| October 2022 | $365,712,245 | 5 | March 31, 2022 |
| October 2023 | $341,241,381 | 5 | March 31, 2023 |
| October 2024 | $358,710,823 | 5 | March 28, 2024 |
| October 2025 | $402,221,544 | 5 | March 28, 2025 |
| October 2026 | $376,213,522 | 6 | April 13, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Concorde Investment Management (CRD 105237): Form ADV filing data as of October 2026.