Wealth manager, independent · Houston, TX
Founders Capital Management Inc
SEC-registered investment adviser · CRD 111164 · SEC 801-48364
At a glance
Founders Capital Management Inc is an SEC-registered investment adviser based in Houston, Texas, with $282 million in regulatory assets under management as of its Form ADV filed February 19, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 130 individual clients. By Form ADV it is a wealth manager, ranked 4,589th of 8,915 wealth managers and 10,491st of 17,210 SEC-registered advisers by assets.
Main office 713-877-1188founderscapital.netLinkedInAs filed on Form ADV
- Regulatory AUM
- $282M
- Rank among wealth managers
- #4,589 of 8,915
- Rank among all SEC RIAs
- #10,491 of 17,210
- Rank in Texas
- #687 of 1,081
- Individual clients
- 130
- High-net-worth clients
- 68
- Accounts
- 130
- Discretionary
- 97% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Lucinda P. BuceTrustee (grant E. Buce Family Trust)
- James L. WalterPresident / Chief Compliance Officer
- Melissa K. BuceTrustee (grant E. Buce Family Trust)
- Will R. OliverManaging Director / Trustee (grant E. Buce Family Trust)
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 68 | $249M | 88% |
| Individuals | 62 | $14M | 5% |
| Charitable organizations | – | $11M | 4% |
| Pension and profit sharing plans | – | $8M | 3% |
Disciplinary disclosures
Founders Capital Management Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗founderscapital.net ↗
AtlasMembers
The full record on Founders Capital Management Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,489 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Founders Capital Management Inc manage?
Founders Capital Management Inc reports $282 million in regulatory assets under management across 130 accounts, 97% of it on a discretionary basis, on its Form ADV filed February 19, 2026.
What kind of firm is Founders Capital Management Inc?
Founders Capital Management Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Founders Capital Management Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($249 million, 68 clients); individuals ($14 million, 62 clients); charitable organizations ($11 million).
Does Founders Capital Management Inc have any disciplinary history?
Founders Capital Management Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Founders Capital Management Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →