# Paratus Financial, Inc.

> Paratus Financial, Inc. is an SEC-registered investment advisory firm in Dallas, TX, registered since 2005, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 24, 2026.

- CRD: 133361
- Filed as: PARATUS FINANCIAL, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/133361
- AdvisorCensus page: https://advisorcensus.com/firm/paratus-financial-inc-dallas-tx-133361

## Quick answers

**How is Paratus Financial, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Paratus Financial, Inc. reports these compensation arrangements: hourly charges; fixed fees (other than subscription fees).

**How much does Paratus Financial, Inc. charge?**
Its Form ADV Part 2A brochure dated March 24, 2026 states: Hourly rate: $80 to $700 an hour; Hourly rate: $185 to $700 an hour (Directors’ fees); Hourly rate: $80 to $400 an hour (Associates’ fees). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Paratus Financial, Inc. located?**
Paratus Financial, Inc.'s principal office is in Dallas, TX, according to its Form ADV.

**Is Paratus Financial, Inc. registered with the SEC or a state?**
Paratus Financial, Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 133361.

**How much does Paratus Financial, Inc. manage?**
Paratus Financial, Inc. reports $757,448,495 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (36% discretionary).

**How have Paratus Financial, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Paratus Financial, Inc.: Regulatory assets under management: $1,806,953,374 in the October 2021 data and $757,448,495 in the October 2026 data, down 58%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Paratus Financial, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (68); individuals (other than high net worth individuals) (19); pension and profit sharing plans (but not the plan participants or government pension plans) (1).

**Which custodians does Paratus Financial, Inc. use?**
Paratus Financial, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Paratus Financial, Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/133361

**What changed in Paratus Financial, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 6 to 7.

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 24, 2026)

- Hourly rate: $80 to $700 an hour

> Our hourly rates range from $80 to $700 per hour depending on the complexity of the work and the experience of the Paratus Financial, Inc. employees involved.

- Hourly rate: $185 to $700 an hour (Directors’ fees)

> Directors’ fees range from $185 to $700 per hour.

- Hourly rate: $80 to $400 an hour (Associates’ fees)

> Associates’ fees range from $80 to $400 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))
- Charles Schwab & Co., Inc.

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: $757,448,495
- Discretionary: $271,289,908
- Non-discretionary: $486,158,587

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 19 | $23,836,420 |
| High net worth individuals | 68 | $730,103,894 |
| 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) | 1 | $3,508,181 |
| 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
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2005 (21 years)
- Employees: 8 total, 7 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.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

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 SEC record: https://adviserinfo.sec.gov/firm/summary/133361

### Websites listed on Form ADV (Item 1.I)
- paratusfinancial.com
- LinkedIn @paratus-financial-inc-

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,806,953,374 | 8 | August 13, 2021 |
| October 2022 | $494,202,348 | 8 | May 6, 2022 |
| October 2023 | $511,365,038 | 7 | March 24, 2023 |
| October 2024 | $619,615,968 | 7 | March 14, 2024 |
| October 2025 | $701,325,240 | 7 | March 7, 2025 |
| October 2026 | $757,448,495 | 8 | March 24, 2026 |

Regulatory assets under management: $1,806,953,374 in the October 2021 data and $757,448,495 in the October 2026 data, down 58%.
Total employees: 8 in October 2021 and 8 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 6 to 7.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Paratus Financial, Inc. (CRD 133361): Form ADV filing data as of October 2026.