# Felix Garcia, RIA

> Felix Garcia, RIA is a state-registered investment advisory firm in Dallas, TX, registered since 2007, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 23, 2023.

- CRD: 114720
- Filed as: FELIX GARCIA, RIA
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: August 23, 2023
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/114720
- AdvisorCensus page: https://advisorcensus.com/firm/felix-garcia-ria-dallas-tx-114720

## Quick answers

**How is Felix Garcia, RIA compensated?**
On its Form ADV (Item 5.E, October 2026), Felix Garcia, RIA reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Felix Garcia, RIA located?**
Felix Garcia, RIA's principal office is in Dallas, TX, according to its Form ADV.

**Is Felix Garcia, RIA registered with the SEC or a state?**
Felix Garcia, RIA is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 114720.

**How much does Felix Garcia, RIA manage?**
Felix Garcia, RIA reports $0 in regulatory assets under management in its Form ADV filing dated August 23, 2023.

**Does Felix Garcia, RIA report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/114720

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $0
- Discretionary: $0
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| 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

### Firm details
- Registered since: 2007 (19 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/114720

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Felix Garcia, RIA (CRD 114720): Form ADV filing data as of October 2026.