Wealth manager, independent · Dallas, TX
Worth Asset Management
Worth Asset Management, LLC · SEC-registered investment adviser · CRD 166970 · SEC 801-122206
At a glance
Worth Asset Management is an SEC-registered investment adviser based in Dallas, Texas, with $288 million in regulatory assets under management as of its Form ADV filed July 27, 2026. Its largest client group by assets is individuals, and it reports 329 individual clients. By Form ADV it is a wealth manager, ranked 4,503rd of 8,915 wealth managers and 10,362nd of 17,210 SEC-registered advisers by assets.
Main office 469-257-5074worthassetmgmt.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $288M
- Rank among wealth managers
- #4,503 of 8,915
- Rank among all SEC RIAs
- #10,362 of 17,210
- Rank in Texas
- #682 of 1,081
- Individual clients
- 329
- High-net-worth clients
- 82
- Accounts
- 333
- Discretionary
- 100% of AUM
- Employees
- 12
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Lisa Lee GesinCCO
- James W. ClarkManaging Member
- Charles W. WaringMember
Custody and brokerage
Broker-dealer
Hybrid RIA
Worth Asset Management is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 247 | $185M | 64% |
| High-net-worth individuals | 82 | $103M | 36% |
| Pension and profit sharing plans | 4 | $0M | <1% |
Disciplinary disclosures
Worth Asset Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗worthassetmgmt.com ↗
AtlasMembers
The full record on Worth Asset Management
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, 4 years of filings
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- Growth over one, three and five years
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- Rank against 6,513 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Worth Asset Management manage?
Worth Asset Management reports $288 million in regulatory assets under management across 333 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 27, 2026.
What kind of firm is Worth Asset Management?
Worth Asset Management 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 Worth Asset Management’s clients?
By assets, its largest client types are individuals ($185 million, 247 clients); high-net-worth individuals ($103 million, 82 clients); pension and profit sharing plans ($64,230, 4 clients).
Does Worth Asset Management have any disciplinary history?
Worth Asset Management 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 Worth Asset Management’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 (2026-07-27), 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 →