{ "crd_number": 316426, "slug": "nautical-star-financial-group-llc-las-colinas-tx-316426", "primary_business_name": "NAUTICAL STAR FINANCIAL GROUP LLC", "legal_name": "NAUTICAL STAR FINANCIAL GROUP LLC", "dbas": [], "city": "Las Colinas", "state": "TX", "country": "United States", "cbsa_code": "19100", "metro": { "cbsa_code": "19100", "common_name": "Dallas", "msa_name": "Dallas-Fort Worth-Arlington, TX", "path": "/advisors/tx/dallas" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2021-11-19", "years_registered": 4, "period": "2026-10-01", "filing_date": "2026-03-19", "carried_forward": false, "raum_total": 57362541.0, "raum_discretionary": 45559378.0, "raum_non_discretionary": 11803163.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 5, "advisory_employees": 4, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 1028660.0, "count": 1, "fewer_than_5": true }, "individuals": { "raum": 11415951.0, "count": 49 }, "pension_profit_sharing": { "raum": 8956362.0, "count": 1, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 33114768.0, "count": 23 }, "corporations_other_businesses": { "raum": 2846800.0, "count": 1, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "ID", "NV", "TX", "WA" ], "websites": [ "https://facebook.com/people/Lance-Peters/pfbid02ZM84UkUgqmk7tJSsc5h5vT7ccqhsDiiAPnXhrx4TiPFrBVsMMgshetReuqz9NdG5l", "https://linkedin.com/in/lancepeters", "https://linkedin.com/in/ralph-smith-ba719054", "https://linkedin.com/in/robertjrmckay", "https://linkedin.com/in/susan-d-marshall-clu%C2%AE-chfc%C2%AE-ricp%C2%AE-b6954118", "https://nauticalstarfinancial.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316426", "city_as_filed": "LAS COLINAS", "url": "https://advisorcensus.com/firm/nautical-star-financial-group-llc-las-colinas-tx-316426", "display_name": "Nautical Star Financial Group LLC", "summary": "Nautical Star Financial Group LLC is a state-registered investment advisory firm in Las Colinas, TX, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.", "citation": "AdvisorCensus. Nautical Star Financial Group LLC (CRD 316426): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Nautical Star Financial Group LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Nautical Star Financial Group LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Nautical Star Financial Group LLC located?", "a": "Nautical Star Financial Group LLC's principal office is in Las Colinas, TX, according to its Form ADV." }, { "q": "Is Nautical Star Financial Group LLC registered with the SEC or a state?", "a": "Nautical Star Financial Group LLC is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 316426." }, { "q": "How much does Nautical Star Financial Group LLC manage?", "a": "Nautical Star Financial Group LLC reports $57,362,541 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (79% discretionary)." }, { "q": "What types of clients does Nautical Star Financial Group LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (49); high net worth individuals (23); pension and profit sharing plans (but not the plan participants or government pension plans) (1)." }, { "q": "Does Nautical Star Financial Group LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/316426" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/nautical-star-financial-group-llc-las-colinas-tx-316426.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 49, "fewer_than_5": false, "raum": 11415951.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 23, "fewer_than_5": false, "raum": 33114768.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 1, "fewer_than_5": true, "raum": 8956362.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": true, "raum": 1028660.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": true, "raum": 2846800.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316426", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }