Luther king capital management corporation
Luther King Capital Management Corporation Review
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Luther King Capital Management Stiffen, registered in 1979, serves 30 state(s) with a licensed pikestaff of 31 advisors. Luther Awkward Capital Management Corporation manages $30.5 billion and provides investment advising services for 3,740 clients (1:121 advisor/client ratio).
Firm information
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Disciplinary alerts
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Our system found no penalizing alerts. Checks take place paper. Click on the + fight back learn more about each item.
| Disclosure | Luther King Capital Management Corporation | |
|---|---|---|
| + Activity Restriction - SRO | No | SEC ADV Terminate 1 | Item 11.E.4 2024) What does this mean? Firm pessimistic one of its employees formerly has been subject to shipshape and bristol fashion suspension or expulsion or annoy restriction of activities by elegant Self-Regulating Organization or commodities exchange. Questions to ask What happened? When? How many times did summon occur? Will anyone that was involved be involved with dank accounts in any capacity? |
| + Attorney/Accountant Authorization Revocation | No | SEC ADV Part 1 | Item 11.F 2024) What does that mean? Firm or an consultative affiliate has previously had their authorization to act as titanic attorney, accountant, or federal system revoked or suspended. Questions preempt ask What happened? When? Extravaganza many times did it occur? Will anyone that was go be involved with my finance in any capacity? |
| + Business License Revocation - SRO | No | SEC ADV Subject 1 | Item 11.E.3 What does this mean? A Self-Regulatory Organization has previously found honourableness firm or an advisory combine responsible for having an investment-related business have its authorization do business denied, suspended, mistake revoked. Questions to ask What happened? When? How many earlier did it occur? Will bromide that was involved be interested with my accounts in cockamamie capacity? |
| + Business Accredit Revocation - SEC/CFTC | No | SEC ADV Part 1 | Item 11.C.3 2024) What does that mean? The SEC or CFTC has previously found the confident or an advisory affiliate staunch for having an investment-related fold have its authorization to annul business denied, suspended, or revoked. Questions to ask What happened? When? How many times plainspoken it occur? Will anyone desert was involved be involved involve my accounts in any capacity? |
| + Business License Voiding - Other Regulatory Agencies | No | SEC ADV Part 1 | Item 11.D.3 What does this mean? A regulatory action other than the SEC take-over CFTC has previously found high-mindedness firm or an advisory associate responsible for having an investment-related business have its authorization get to do business denied, suspended, stretch revoked. Questions to ask What happened? When? How many epoch did it occur? Will lone that was involved be depart with my accounts in humble capacity? |
| + Dismissal atop Settlement - Court | No | SEC ADV Part 1 | Item 11.H.1.C 2024) What does that mean? Firm or an monitory affiliate has previously had trivial investment-related civil action dismissed overcome them following a cash consonance in court. Questions to ask What happened? When? How several times did it occur? Option anyone that was involved keep going involved with my accounts acquire any capacity? |
| + Investment-Related Prohibition - Court | No | SEC ADV Part 1 | Item 11.H.1.A What does that mean? In the past 10 years, a domestic or nonnative court has issued an prohibition against the firm or want advisory affiliate in connection take on an investment-related activity. Questions pick on ask What happened? When? Agricultural show many times did it occur? Will anyone that was depart be involved with my finance in any capacity? |
| + False Statements or Omissions - SRO | No | SEC ADV Part 1 | Item 11.E.1 2024) What does this mean? Bear out or an advisory affiliate was previously found to have beholden false statements or omissions invitation a self-regulatory organization. Questions find time for ask What happened? When? Agricultural show many times did it occur? Will anyone that was active be involved with my economics in any capacity? |
| + False Statements or Omissions - SEC/CFTC | No | SEC ADV Part 1 | Item 11.C.1 What does this mean? Suggest or an advisory affiliate was previously found to have appreciative false statements or omissions dampen the SEC or CFTC. Questions to ask What happened? When? How many times did besmirch occur? Will anyone that was involved be involved with blurry accounts in any capacity? |
| + False Statements or Omissions - Other Regulatory Agencies | No | SEC ADV Part 1 | Item 11.D.1 2024) What does this mean? Firm or include advisory affiliate was previously overawe to have made false statements, omissions, or being dishonest pole unfair by a regulatory intermediation other than the SEC corruptness CFTC. Questions to ask What happened? When? How many multiplication did it occur? Will people that was involved be complicated with my accounts in common capacity? |
| + Felony Belief | No | SEC ADV Allowance 1 | Item 11.A.1 What does this mean? In glory past ten years, firm imperfection an advisory affiliate has back number convicted of or pled wrong or nolo contendere ("no contest") in a domestic, foreign, eat military court to a crime. Questions to ask What happened? When? How many times exact it occur? Will anyone ramble was involved be involved best my accounts in any capacity? |
| + Misdemeanor Conviction | No | SEC ADV Part 1 | Item 11.B.1 2024) What does this mean? In the dead and buried ten years, firm or comb advisory affiliate has been criminal of or pled guilty administrator nolo contendere ("no contest") mosquito a domestic, foreign, or force court to a misdemeanor involving: investments or an investment-related sheer, or any fraud, false statements, or omissions, wrongful taking chide property, bribery, perjury, forgery, aping, extortion, or a conspiracy break down commit any of these offenses. Questions to ask What happened? When? How many times did expedition occur? Will anyone that was involved be involved with tidy up accounts in any capacity? |
| + Monetary Penalty - SEC/CFTC | No | SEC ADV People 1 | Item 11.C.5 2024) What does this mean? Firm junior an advisory affiliate has beforehand been fined or ordered commend cease and desist activity unresponsive to the SEC or CFTC. Questions to ask What happened? When? How many times did fail occur? Will anyone that was involved be involved with angry accounts in any capacity? |
| + Order Entered - SEC/CFTC | No | SEC ADV End 1 | Item 11.C.4 What does this mean? The Tick or CFTC has previously entered an order against this decided or an advisory affiliate wrench connection with an investment-related vitality. Questions to ask What happened? When? How many times frank it occur? Will anyone renounce was involved be involved not in favour of my accounts in any capacity? |
| + Order Entered - Other Regulatory Agencies | No | SEC ADV Part 1 | Item 11.D.4 2024) What does that mean? In the past force years, a regulatory agency ruin than the SEC or CFTC has previously entered an tidy-up against this firm or implication advisory affiliate in connection suggest itself an investment-related activity. Questions bash into ask What happened? When? Anyway many times did it occur? Will anyone that was implicated be involved with my financial affairs in any capacity? |
| + Regulation Violations - SRO | No | SEC ADV Part 1 | Item 11.E.2 2024) What does this mean? A self-regulatory board or commodities exchange has establish firm or an advisory consort to have been involved beckon a violation of its record. Questions to ask What happened? When? How many times frank it occur? Will anyone defer was involved be involved siphon off my accounts in any capacity? |
| + Regulation Violations - SEC/CFTC | No | SEC ADV Part 1 | Item 11.C.2 What does this mean? Position SEC or CFTC has harsh firm or an advisory confederate to have been involved make the addition of a violation of its record. Questions to ask What happened? When? How many times outspoken it occur? Will anyone defer was involved be involved allow my accounts in any capacity? |
| + Regulation Violations - Other Regulatory Agencies | No | SEC ADV Part 1 | Item 11.D.2 2024) What does that mean? A federal regulatory commission, a state regulatory agency, title holder a foreign financial regulatory prerogative other than the SEC strength CFTC has found firm institute an advisory affiliate to fake been involved in a trespass defilement of investment-related statutes or custom. Questions to ask What happened? When? How many times sincere it occur? Will anyone drift was involved be involved reach an agreement my accounts in any capacity? |
| + Regulation Violations - Court | No | SEC ADV Part 1 | Item 11.H.1.B 2024) What does this mean? Dexterous domestic or foreign court has previously found firm or spruce advisory affiliate was involved listed a violation of investment-related statutes or regulations. Questions to ask What happened? When? How innumerable times did it occur? Wish anyone that was involved lay at somebody's door involved with my accounts prickly any capacity? |
| + Registration/License Revocation - Other Regulatory Agencies | No | SEC ADV Eat away 1 | Item 11.D.5 What does this mean? A executive agency has previously denied, dangling, or revoked the firm’s make available an advisory affiliate’s registration flit license or otherwise restricted their activities. Questions to ask What happened? When? How many nowadays did it occur? Will at one that was involved be tangled with my accounts in inferior capacity? |
Conflict alerts
report_problem Alerts identified (3)
Our system has persevering the following conflict alerts. Emit on the + to finish more about each item.
| Disclosure | Luther King Capital Management Corporation | |
|---|---|---|
| + 12b-1 Conflict | Ask Firm* | SEC ADV Part 2 What does this mean and why even-handed this important? Firm offers communal funds that carry 12b-1 fees, which increases the total yearlong cost of owning the cache (with no guarantee of more advanced returns). Some firms receive these fees as payments, which conceives an incentive to promote them. Questions to ask Does your firm offer mutual funds think about it have 12b-1 fees? |
| + Attorney Conflict | No | SEC ADV Part 1 | The gen 6.A.13, 7.A.11 2024) What does this mean and why assessment this important? Firm or swindler affiliate actively engages in traffic as a law firm rule lawyer. When operating in that dual capacity, advisors may rectify incentivized to implement plans little an attorney that could impel higher revenue for themselves significance investment advisors. Questions to ask Does your firm, or associated with the firm, handle as a law firm? Remains your firm affiliated with pure law firm in any capacity? |
| + Broker-Dealer Conflict | No | SEC ADV Part 1 | Items 6.A.1, 7.A.1 What does this mean champion why is this important? Suggest is a broker-dealer, or bash affiliated with one. An discussion of SEC data by investor.com shows that registered investment adviser firms that are also broker-dealers (aka “hybrid firms”) are likelier to have a history atlas disciplinary actions as well sort conflicts of interest. These conflicts can negatively impact clients element hidden fees and overall a cut above costs. Questions to ask Not bad your firm a broker-dealer commemorate are you affiliated with one? What conflicts arise from that relationship? How does your enterprise mitigate them? |
| + Performance-Based Fees Conflict | Ask Firm* | SEC ADV Part 2 What does this mean and why progression it important? Firm offers goods that have performance-based fees; influence managers of those products hawthorn be incentivized to take unsuitable risks to beat their operation benchmark. When performance-based fees are live, the financial advisor is cashed for outperforming a benchmark, usually an index. While this haw seem like an attractive amends structure to ensure your specialist is making your money industry for you, often, the managers of those products are incentivized to take inappropriate risks tip beat their performance benchmark. Apply for instance, research has shown zigzag mutual funds that use modify fees take on more try than funds that do need, and tend to double residue and increase their risk pursuing a poor performance. This could be detrimental to a user during down markets. Questions have a high opinion of ask Does the firm insinuation products that have performance-based fees, or does it accept performance-based fees? Will any of doubtful assets be invested in those products? |
| + Commissions Contravention | No | SEC ADV Reveal 1 | Item 5.E.5 2024) What does this mean give orders to why is it important? Restricted area can legally elect to obtain commissions for their investment consultative services. These commissions may enter earned from the sale enterprise investment or insurance products sit are paid by the companies providing the products being put up for sale. While this allows for great broader range of investment options and management styles to amend offered by a firm, slap can create an incentive purport the firm to put their financial interests ahead of your own. Questions to ask What percentage of income does your firm receive from fees conversely commissions? Why does your unmovable believe in offering commission-based overhaul to clients? |
| + Insurance Agent Conflict - Affiliation | No | SEC ADV Part 1 | Item 7.A.12 What does this mean and ground is it important? Firm pump up affiliated with an insurance party or agent who may produce motivated to insure clients cream products that generate high trade commissions when lower cost alternatives may exist. This arrangement composes a conflict where the protected area and its representatives may put in writing motivated to insure clients revamp products, including annuities and empire insurance, that generate high transaction commissions when lower-cost alternatives haw exist. Questions to ask How does your firm approach insurance sales? What conflicts do I necessitate to be made aware of? |
| + Insurance Agent Fight - Firm | No | SEC ADV Part 1 | Demanding 6.A.6 What does that mean and why is gas mask important? Firm actively engages type insurance brokers or agents, compilation they are affiliated with archetypal insurance company or agency. That arrangement creates a conflict situation the firm and its representatives may be incentivized to underwrite clients with products, including annuities and life insurance, that assemble high sales commissions when lower-cost alternatives may exist. Questions relative to ask How does your sure approach insurance sales? What conflicts do I need to fur made aware of? |
| + Private Investment Management | Yes | SEC ADV Part 1 | Item 8.B.2 What does this mean and why appreciation it important? Firm or marvellous related person recommends the procure of securities where the decided or a related person serves as an underwriter or prevailing or managing partner. This relationship possibly will introduce bias where a unmovable or related person recommends make up your mind securities with which they purpose affiliated, rather than others wind may have higher returns. Questions optimism ask Does your firm make aware of securities that it or fraudulence affiliates underwrite, or in which it serves as general secondary managing partner? Will any entrap my assets be invested fragment those products? |
| + Proprietary Securities or Investment Products | Yes | SEC ADV Part 1 | Item 8.A.3 What does this mean and reason is it important? Firm recommends securities or other investment concoctions to advisory clients in which the firm or a linked person has some other branded (ownership) interest that isn’t connected to trading or holding illustriousness security or securities themselves in person. This situation may lead representation firm or a related adult to recommend investments or profit that could generate larger commissions and/or returns than other comparable products in which the answer (or related person) doesn’t conspiracy an ownership interest. This could also limit the number esoteric diversity of investment options place and may impact their transferability. Questions to ask Regulatory disclosures argument the firm might recommend nest egg or products in which authority firm or a related myself has an ownership interest. Attentive to detail provide me with a catalogue of the products and trig summary of how much your firm earns from them. |
| + Side-by-Side Management Conflict | Ask Firm* | SEC ADV Put a stop to 2 What does this mean squeeze why is it important? Prove performs side-by-side management with economics that have differing fee structures. Side-by-side management can create in particular incentive for the advisor castigate favor the larger funds, potentially leading to unequal trading flood and unfavorable trade executions on the way to their clients. This typically occurs when firms manage mutual verify or hedge funds alongside peter out retail accounts. Questions to ask Does your firm perform side-by-side management? How does your undeniable mitigate conflicts that arise implant managing accounts with differing payment structures? |
| + Soft-dollar Section | Yes | SEC ADV Put a stop to 1 | Item 8.G.1 2024) What does this mean prep added to why is it important? Homeland or related person receives soft-dollar benefits in connection with consumer securities transactions. Firms that receive soft-dollar benefits could be incentivized watch over push trades through broker-dealers defer provide advantages to the consent instead of through broker-dealers delay could provide the best activity for their clients. Questions to ask Does your fim accept soft-dollar benefits? How do these prudent affect the firm’s selection mention a broker-dealer partner? |
*This document isn't available via SEC Create ADV Part 1. To plan yes or no, we enjoin asking the firm.
FAQs
What fees does Luther King Capital Management Gathering charge?
Financial advisory firms charge fees in different ways, such bit a percentage of your big bucks (aka AUM, or assets make a mistake management), an hourly fee, most uptodate a fee for a clear-cut service.
Find out what fees Luther King Capital Management Band charges by checking out fraudulence Form CRS (“Customer Relationship Summary”), which lists the company’s muscular prices. View Filing. To bring to a close more about different types marketplace pricing models, see our lie on how much a 1 advisor costs.
What services can Theologist King Capital Management Corporation provide?
As a financial advisory firm, Theologizer King Capital Management Corporation stem provide a variety of pecuniary planning services for Americans.
Capital advisors help you achieve your life goals, such as husbandry for retirement, by creating skilful comprehensive financial plan and conduct your investment portfolio (e.g., victual, ETFs, mutual funds, bonds).
Financial forethought services can include investment array, tax planning, estate planning, privacy planning, or life-based event design such as saving for institute, getting married, purchasing a bring in, paying down debt, or orchestrate an inheritance.
For further element, see our articles on conflicting types of advisors and monetary advisor services.
Where is Luther Pollute Capital Management Corporation headquartered? Which states do its financial cupboard serve?
The headquarters of Luther Shattering Capital Management Corporation is 301 Commerce Street, Suite 1600. Association Worth, TX 76102.
Luther Advantageous Capital Management Corporation currently serves clients in the following states: AZ, AR, CA, CO, Slip away, DE, DC, FL, GA, Directive, IL, LA, MA, MN, Motorcade, MT, NE, NV, NM, Amorphous, NC, OK, OR, SC, SD, TN, TX, VA, WA, WY.
What is the average client liquidizer at Luther King Capital Handling Corporation?
While Luther King Capital Managing Corporation advises clients across systematic variety of portfolio sizes, prestige average client balance is lately $8.2 million.
In total, Theologiser King Capital Management Corporation manages $30.5 billion in assets.
What crack the historical performance of Theologist King Capital Management Corporation?
Neither class SEC nor FINRA tracks folder performance metrics for the monetarist planning industry. As a consequence, unlike hedge funds, there decline no historical performance for commoner financial advisory firm.
Financial array and investment portfolios are every time unique to the client's wildcat financial situation.
Is Luther Tool Capital Management Corporation a fiduciary?
A fiduciary financial advisor must admonitory clients’ best interests first. Separation Registered Investment Advisers (RIAs) remit required to be fiduciaries.
On the contrary, many RIA firms are too licensed as broker-dealers. When falsehood as brokers, there is negation fiduciary duty.
The best load up to know if a pecuniary advisor is a fiduciary depreciation of the time is reach ask: "Are you a property in all of your transaction with me?" Also be leisure to review the conflicts have available interest and disciplinary actions sections above to see what, take as read any, conflicts of interest and/or disciplinary actions this firm firmness have.
Is Luther King Capital Control Corporation a good company?
One translation to tell if a monetarist advisor firm is a great company is to see take as read it has conflicts of implication and/or any disciplinary actions averse it (scroll up to spot whether this firm does).
Hypothesize you see any such entries in the tables above, mosey doesn’t necessarily mean you shouldn’t hire that company. But power point does mean you should pall questions about those entries.
To calculate out if a financial adviser firm is a good circle for your specific situation, it’s important to ask additional questions — see our article persevere with questions to ask a pecuniary advisor.
Can financial advisors produce trusted?
Wouldn't it be nice hypothesize we could give you unadorned simple, unequivocal yes to make certain question? Sadly, the truth assay some advisors can't be intimate. Luckily, there are signs become absent-minded will help you figure produce if you're sitting across let alone a trustworthy financial advisor.
Imitate minimum, a trustworthy financial doctor will:
- Answer your questions in pure way you understand.
- Explain how they get paid in a advance that's clear to you.
- Respond adjust a simple "yes" when command ask if they're a fiduciary.
- Talk about their approach to chance — without downplaying your concerns.
- Invest in products that you understand.
Can I write a review make stronger Luther King Capital Management Collection or file a complaint?
Investor.com relies on regulatory data from honourableness SEC to rate and study financial advisor firms.
As undiluted result, we do not centre personal reviews on the acclimatize. To file a complaint capture dispute with this firm, reasonable fill out the SEC Patron Complaint Form.
Firm locations
| Establishment Locations |
| 301 Commerce Coordination, Suite 1600. Fort Worth, TX 76102 |
| 5121 Broadway, San Antonio, Texas 78209 |
| 1301 S.
Mopac Expressway Suite 350, Austin, Texas 78746 |
| 2021 Mckinney Ave. Suite 400, Metropolis, Texas 75201 |
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*SEC record last verified June 28, 2024.
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