SourcingSourcing

SUNBELT SECURITIES, INC.

C30
CRD 42180·SEC 801-71479·HOUSTON, TX
AUM
$2.02B
$1B+
Est. Revenue
$20.2M
@ 1% on AUM
Est. EBITDA
$6.1M
@ 30% margin
Est. Deal Value
$48.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SUNBELT SECURITIES, INC.
CRD
42180
SEC file #
801-71479
EIN
463824778
DBA names
Sunbelt Securities

Economics

AUM
$2.02B
AUM band
$1B+
AUM trajectory
'20'26
$419.7M → $2.02B▲ +382%
Client mix
Individuals Other4,572
Individuals High Net Worth689
Pension Profit Sharing Plans78
Corporations11
Charitable Organizations5

Operations

Employees (total)
68
Advisory staff (per ADV)
68
Advisory staff (5-yr trend)
'20'26
47 advisors → 68 advisors▲ +45%
Primary office
HOUSTON TX
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
06/24/2025
ADV-W filed at
—
Website
cwrawl.com

Compliance

Disclosures (firm)
8
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BUCKLEY, THOMAS FRANCIS
Top Owner Pct
17.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
BUCKLEY, THOMAS FRANCIS
SMETEK, DAVID ANTHONY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CWRAWL.COM
Rdap Domain Creation Date
2018-01-11T23:35:44Z
Rdap Firm Age Years
8
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
85,780
Form 5500 Compensation Trajectory 3y
202585,780
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
85,780
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001593648
Edgar Registered
Yes
Edgar Filing Count
19
Edgar First Filing Date
2013-12-06
Edgar Last Filing Date
2019-07-10
Edgar Form D Count
19
Edgar Form D Offerings
2019-07-102019-07-10 · 0001593648-19-000003
2019-02-062019-02-06 · 0001593648-19-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4344
Soi Zip Pct 200k Plus
0.2648
Soi Zip Returns 200k Plus
3,310
Soi Zip Total AGI
5,246,932
Fdic Zip Total Deposits
210,227,424,000
Fdic Zip Branch Count
873
Fdic Zip Top Banks
Cadence Bank, N.A.
Compass Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
47
Bc Firm Active IA Count
35
Bc Firm IAR Count
50
Custodian Candidates
Full
Fidelity6
E*trade4
Edgar Addresses
Mailing
1707 1/2 POST OAK BOULEVARDSUITE 196HOUSTON, TX 77056
Business
1707 1/2 POST OAK BOULEVARDSUITE 196HOUSTON, TX 77056
Edgar EIN
463824778
Edgar Recent Filings
D2019-07-10 · 0001593648-19-000003
D2019-02-06 · 0001593648-19-000002
Fdic Zip Branches Raw
University State BankHouston, TX
First Prosperity BankHouston, TX
Fdic Zip HHI
562.27
Fdic Zip Top Bank Share Pct
11.62
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-01-11T23:35:44Z
Rdap Domain Last Changed
2023-12-12T14:52:06Z
Rdap Nameservers
Ns65.domaincontrol.comNs66.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI30,258
Returns2,450
Stub 2
AGI71,390
Returns1,930
Stub 3
AGI98,319
Returns1,590
Soi Zip Total Business Income
159,994
Soi Zip Total Cap Gains
1,314,259
Soi Zip Total Dividends
358,846
Soi Zip Total Returns
12,500
Top Owner CRD
1563361
Trust Company Affiliate
No

People (51)

51
SMETEK, DAVID ANTHONY
IAR · Direct Owner · 17.5%
1246996
MILLER, RAYMOND JOSEPH
IAR · Direct Owner · 17.5%
856248
SMETEK, PATRICK JOSEPH
IAR · Direct Owner · 17.5%
1052695
BUCKLEY, THOMAS FRANCIS
IAR · Direct Owner · 17.5%
1563361
DAGNY YOUNG
Executive Officer · 2.5%
2050615
Lagen Heath McLachlan
IAR
7504064
Elizabeth Ellen Chamberlain
IAR
6727380
CARA MARIE MCKEE
IAR
5040977
MATTHEW CHARLES KNAUSS
IAR
5967992
FRANCES ANTOINETTE EDWARDS
IAR
1656113
JESSE CARL BROWN
IAR
1618621
James Michael Nakfoor
IAR
2205978
JAMES MICHAEL WALKER
IAR
1456393
FRANCES KAYE MARTIN
IAR
1021127
Collin David Metscher
IAR
7411658
MICHAEL EDWARD BROWN
IAR
2376558
THOMAS PRESTON BRASHEAR
IAR
1915838
Minor Dale Shores
IAR
1346068
JOHN ERIC FLECKENSTEIN
IAR
6055382
RICHARD NEIL CHAMBERLAIN
IAR
3121440
STEPHEN WYMER MCBRIDE
IAR
1248015
MICHAEL EDWARD WATTS
IAR
1571364
GAYLORD CHASE
IAR
4602497
Alden Isabelle Dichoso
IAR
7854686
Addison Shea Freedle
IAR
7934008
RYAN PATRICK MCDONNELL
IAR
5470635
Charles William Rawl
IAR
2606069
Benjamin Charles Jimerson
IAR
7238637
DANA JOY RILEY
IAR
1648808
Jonathan Neil Chamberlain
IAR
6727400
Mitchell Clayton Friedemann
IAR
6536022
KENNETH REAGAN BARRY
IAR
1559982
Jon Douglas Hur
IAR
7858926
EDWARD MICHAEL MILKIE
IAR
871257
SHELLEY CAMILLE MORRISON-PHELPS
IAR
2142324
JOHN CHRISTOPHER HUSBY
IAR
3045217
LAWRENCE CHRISTOPHER PALADINO
IAR
1099788
BRADLEY FRANK LAKNER
IAR
4167521
HEINRICH GROBLER
IAR
5908779
THOMAS JOSEPH CHRETIEN
IAR
2685676
MELVIN SAUL JACOBS
IAR
1361940
IRENE M. KELLEY
IAR
4607659
CATHERINE MARY CHADWICK
IAR
1138184
Hailey A Thorn
IAR
6093905
Riccardo Signorelli
IAR
6957294
GREGORY MICHAEL THORN
IAR
2308648
DAVID WALTER OSBORNE
IAR
3022156
Brock Aaron Carlin
IAR
5455808
BELINDA GAIL AUCOIN
IAR
1756536
KELLY BRIAN REAVIS
IAR
2877578
TERRI WARD MCBRIDE
IAR
1493385