# Tri-Star Advisors, Inc.

> Tri-Star Advisors, Inc. is a state-registered investment advisory firm in Houston, TX, registered since 2023, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 26, 2026.

- CRD: 149760
- Filed as: TRI-STAR ADVISORS, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: February 26, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/149760
- AdvisorCensus page: https://advisorcensus.com/firm/tri-star-advisors-inc-houston-tx-149760

## Quick answers

**How is Tri-Star Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Tri-Star Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Tri-Star Advisors, Inc. located?**
Tri-Star Advisors, Inc.'s principal office is in Houston, TX, according to its Form ADV.

**Is Tri-Star Advisors, Inc. registered with the SEC or a state?**
Tri-Star Advisors, Inc. is a state-registered investment advisory firm, registered since 2023. Status as filed: APPROVED. CRD 149760.

**How much does Tri-Star Advisors, Inc. manage?**
Tri-Star Advisors, Inc. reports $67,921,342 in regulatory assets under management in its Form ADV filing dated February 26, 2026 (100% discretionary).

**How have Tri-Star Advisors, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Tri-Star Advisors, Inc.: Regulatory assets under management: $337,320,942 in the October 2021 data and $67,921,342 in the October 2026 data, down 80%. Total employees: 8 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tri-Star Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (48); high net worth individuals (25).

**Does Tri-Star Advisors, Inc. report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149760

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $67,921,342
- Discretionary: $67,921,342
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 48 | $10,710,602 |
| High net worth individuals | 25 | $44,988,253 |
| Insurance companies | Fewer than 5 | $12,222,487 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, TX
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149760

### Websites listed on Form ADV (Item 1.I)
- [plus.google.com/+TRISTARADVISOR1](https://plus.google.com/+TRISTARADVISOR1)
- [tristar.us](https://tristar.us)
- [tristaradvisor.com](https://tristaradvisor.com)
- Facebook @TRISTARADVISORS
- LinkedIn @TRI-STAR-ADVISORS
- X @TSADVISOR
- YouTube @TRISTARADVISOR1

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $337,320,942 | 8 | March 19, 2021 |
| October 2022 | $354,828,048 | 7 | March 16, 2022 |
| October 2026 | $67,921,342 | 4 | February 26, 2026 |

Regulatory assets under management: $337,320,942 in the October 2021 data and $67,921,342 in the October 2026 data, down 80%.
Total employees: 8 in October 2021 and 4 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tri-Star Advisors, Inc. (CRD 149760): Form ADV filing data as of October 2026.