{
  "crd_number": 42803,
  "slug": "valic-financial-advisors-inc-houston-tx-42803",
  "primary_business_name": "VALIC FINANCIAL ADVISORS, INC.",
  "legal_name": "VALIC FINANCIAL ADVISORS, INC.",
  "dbas": [
    "COREBRIDGE FINANCIAL"
  ],
  "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": "1997-10-10",
  "years_registered": 28,
  "period": "2026-10-01",
  "filing_date": "2026-05-13",
  "carried_forward": false,
  "raum_total": 29215100590.0,
  "raum_discretionary": 29215100590.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 1647,
  "advisory_employees": 1280,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 26420473882.0,
      "count": 291076
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 2784975200.0,
      "count": 1913
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 9651508.0,
      "count": 37
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 17,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://corebridgefinancial.com/rs",
    "https://facebook.com/CorebridgeFinancial1",
    "https://instagram.com/corebridgefinancial",
    "https://linkedin.com/company/corebridge-for-financial-professionals",
    "https://linkedin.com/company/corebridgefinancial",
    "https://valic.com",
    "https://youtube.com/channel/UCLKS7ZPjX1nkdUi3pbolphA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/42803",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.B(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with one of the misdemeanors listed in 11.B(1)?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "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(3)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "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(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "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(3)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    }
  ],
  "city_as_filed": "HOUSTON",
  "url": "https://advisorcensus.com/firm/valic-financial-advisors-inc-houston-tx-42803",
  "display_name": "Valic Financial Advisors, Inc.",
  "summary": "Valic Financial Advisors, Inc. is an SEC-registered investment advisory firm in Houston, TX, registered since 1997, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 13, 2026.",
  "citation": "AdvisorCensus. Valic Financial Advisors, Inc. (CRD 42803): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-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",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Valic Financial Advisors, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Valic Financial Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Valic Financial Advisors, Inc. located?",
      "a": "Valic Financial Advisors, Inc.'s principal office is in Houston, TX, according to its Form ADV; the June 2026 filing also lists 17 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Valic Financial Advisors, Inc. registered with the SEC or a state?",
      "a": "Valic Financial Advisors, Inc. is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 42803."
    },
    {
      "q": "How much does Valic Financial Advisors, Inc. manage?",
      "a": "Valic Financial Advisors, Inc. reports $29,215,100,590 in regulatory assets under management in its Form ADV filing dated May 13, 2026 (100% discretionary)."
    },
    {
      "q": "How have Valic Financial Advisors, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Valic Financial Advisors, Inc.: Regulatory assets under management: $23,332,836,027 in the October 2021 data and $29,215,100,590 in the October 2026 data, up 25%. Total employees: 2,027 in October 2021 and 1,647 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Valic Financial Advisors, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (291,076); high net worth individuals (1,913); corporations or other businesses not listed above (37)."
    },
    {
      "q": "Which custodians does Valic Financial Advisors, Inc. use?",
      "a": "Valic Financial Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC, The Variable Annuity Life Insurance Company (affiliated with the firm) and Valic Trust Company Inc. (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Valic Financial Advisors, Inc. report any disciplinary disclosures?",
      "a": "Reports 17 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters and 15 questions about regulatory matters (11.A(2), 11.B(2), 11.C(1), 11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(3), 11.E(4), 11.G). 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/42803"
    },
    {
      "q": "What changed in Valic Financial Advisors, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Item 11 disclosure answers changed: 17 yes answers, previously 19 (now no: 11.A(1), 11.B(1)). Employees performing advisory functions went from 1239 to 1280. Regulatory assets under management went from $26,372,603,709 to $29,215,100,590 (+11%). Changed its office addresses in Shreveport, LA. Changed its office addresses in Tampa, FL. Added an office in Addison, TX. Added an office in Carmel, IN. Added an office in Modesto, CA. Added an office in North Chesterfield, VA. Added an office in Novi, MI. Added an office in Portland, OR. Added an office in Seven Fields, PA. Added an office in Wakefield, MA. No longer lists an office in Auburn Hills, MI. No longer lists an office in Houston, TX. No longer lists an office in Lakewood, CO. No longer lists an office in Nashua, NH. No longer lists an office in Nashville, TN. No longer lists an office in Overland Park, KS. No longer lists an office in Pittsburgh, PA. No longer lists an office in Roseville, CA. No longer lists an office in Williamsville, NY. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 23332836027.0,
      "total_employees": 2027,
      "filing_date": "2021-07-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 26915378973.0,
      "total_employees": 2020,
      "filing_date": "2022-04-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 23162172814.0,
      "total_employees": 1880,
      "filing_date": "2023-10-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 25247497902.0,
      "total_employees": 1713,
      "filing_date": "2024-09-11"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 26372603709.0,
      "total_employees": 1633,
      "filing_date": "2025-07-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 29215100590.0,
      "total_employees": 1647,
      "filing_date": "2026-05-13"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Item 11 disclosure answers changed: 17 yes answers, previously 19 (now no: 11.A(1), 11.B(1)).",
        "Employees performing advisory functions went from 1239 to 1280.",
        "Regulatory assets under management went from $26,372,603,709 to $29,215,100,590 (+11%).",
        "Changed its office addresses in Shreveport, LA.",
        "Changed its office addresses in Tampa, FL.",
        "Added an office in Addison, TX.",
        "Added an office in Carmel, IN.",
        "Added an office in Modesto, CA.",
        "Added an office in North Chesterfield, VA.",
        "Added an office in Novi, MI.",
        "Added an office in Portland, OR.",
        "Added an office in Seven Fields, PA.",
        "Added an office in Wakefield, MA.",
        "No longer lists an office in Auburn Hills, MI.",
        "No longer lists an office in Houston, TX.",
        "No longer lists an office in Lakewood, CO.",
        "No longer lists an office in Nashua, NH.",
        "No longer lists an office in Nashville, TN.",
        "No longer lists an office in Overland Park, KS.",
        "No longer lists an office in Pittsburgh, PA.",
        "No longer lists an office in Roseville, CA.",
        "No longer lists an office in Williamsville, NY.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    },
    {
      "name": "The Variable Annuity Life Insurance Company",
      "name_as_filed": "THE VARIABLE ANNUITY LIFE INSURANCE COMPANY",
      "affiliated": true
    },
    {
      "name": "Valic Trust Company Inc.",
      "name_as_filed": "VALIC TRUST COMPANY INC.",
      "affiliated": true
    }
  ],
  "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/valic-financial-advisors-inc-houston-tx-42803.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 291076,
      "fewer_than_5": false,
      "raum": 26420473882.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1913,
      "fewer_than_5": false,
      "raum": 2784975200.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 37,
      "fewer_than_5": false,
      "raum": 9651508.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 17 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/42803",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}