{
  "crd_number": 42180,
  "slug": "sunbelt-securities-houston-tx-42180",
  "primary_business_name": "SUNBELT SECURITIES",
  "legal_name": "SUNBELT SECURITIES, INC.",
  "dbas": [],
  "city": "Houston",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "26420",
  "metro": {
    "cbsa_code": "26420",
    "common_name": "Houston",
    "msa_name": "Houston-Pasadena-The Woodlands, TX",
    "path": "/advisors/tx/houston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-06-24",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-06-16",
  "carried_forward": false,
  "raum_total": 2640113505.0,
  "raum_discretionary": 2640113505.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 68,
  "advisory_employees": 68,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 1016753.0,
      "count": 2
    },
    "individuals": {
      "raum": 2110108167.0,
      "count": 5279
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 481073113.0,
      "count": 919
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 47915472.0,
      "count": 41
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 8,
  "states_registered": [
    "AK",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "KY",
    "LA",
    "MA",
    "MD",
    "MI",
    "MO",
    "MS",
    "MT",
    "NC",
    "NE",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://chamberlainfinancial.net",
    "https://csquaredwealth.com",
    "https://cwrawl.com",
    "https://financial360tx.com",
    "https://gregthorn.com",
    "https://innovativefinancialpartners.com",
    "https://jrpwc.com",
    "https://lexinvest.com",
    "https://mcphersonmayberry.com",
    "https://prestoncapitaltx.com",
    "https://sunbeltsecurities.com",
    "https://sunbeltsecurities.com/DAVID.HEINZ",
    "https://sunbeltsecurities.com/ROY.LONGORIA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/42180",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "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?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "HOUSTON",
  "url": "https://advisorcensus.com/firm/sunbelt-securities-houston-tx-42180",
  "display_name": "Sunbelt Securities",
  "summary": "Sunbelt Securities is an SEC-registered investment advisory firm in Houston, TX, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated June 16, 2026.",
  "citation": "AdvisorCensus. Sunbelt Securities (CRD 42180): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Sunbelt Securities compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sunbelt Securities reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Sunbelt Securities located?",
      "a": "Sunbelt Securities' principal office is in Houston, TX, according to its Form ADV; the July 2026 filing also lists 12 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Sunbelt Securities registered with the SEC or a state?",
      "a": "Sunbelt Securities is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 42180."
    },
    {
      "q": "How much does Sunbelt Securities manage?",
      "a": "Sunbelt Securities reports $2,640,113,505 in regulatory assets under management in its Form ADV filing dated June 16, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sunbelt Securities' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sunbelt Securities: Regulatory assets under management: $984,529,573 in the October 2021 data and $2,640,113,505 in the October 2026 data, up 168%. Total employees: 64 in October 2021 and 68 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sunbelt Securities serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5,279); high net worth individuals (919); corporations or other businesses not listed above (41)."
    },
    {
      "q": "Which custodians does Sunbelt Securities use?",
      "a": "Sunbelt Securities' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Sunbelt Securities report any disciplinary disclosures?",
      "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.E(4)). 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/42180"
    },
    {
      "q": "What changed in Sunbelt Securities' recent Form ADV filings?",
      "a": "In the July 2026 filing data: Regulatory assets under management went from $2,024,286,577 to $2,640,113,505 (+30%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 984529573.0,
      "total_employees": 64,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1145411076.0,
      "total_employees": 64,
      "filing_date": "2022-05-04"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1782009305.0,
      "total_employees": 67,
      "filing_date": "2023-04-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1907600674.0,
      "total_employees": 67,
      "filing_date": "2024-05-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2024286577.0,
      "total_employees": 68,
      "filing_date": "2025-06-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2640113505.0,
      "total_employees": 68,
      "filing_date": "2026-06-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Regulatory assets under management went from $2,024,286,577 to $2,640,113,505 (+30%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/sunbelt-securities-houston-tx-42180.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 5279,
      "fewer_than_5": false,
      "raum": 2110108167.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 919,
      "fewer_than_5": false,
      "raum": 481073113.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": false,
      "raum": 1016753.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 41,
      "fewer_than_5": false,
      "raum": 47915472.0
    }
  ],
  "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.",
  "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/42180",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}