Mark A. Kaufman

STANLEY CAPITAL MANAGEMENT

Houston, TX 77027

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CRD#: 1480303

Professional summary

Mark Alan Kaufman is a registered financial advisor currently at STANLEY CAPITAL MANAGEMENT, LLC located in Houston, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Kaufman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 11, 2017 - Present

STANLEY CAPITAL MANAGEMENT, LLC

Office #1: 3200 Southwest Freeway Suite 1900, Houston, TX 77027

RIA

CRD#: 156468

Houston, TX

Past

March 31, 2014 - February 17, 2015

STANLEY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 156468

HOUSTON, TX

Past

June 17, 2013 - February 28, 2014

LINSCOMB WEALTH, INC.

RIA

CRD#: 106779

HOUSTON, TX

Past

April 28, 1995 - December 1, 2007

LINSCOMB WEALTH, INC.

RIA

CRD#: 106779

HOUSTON, TX

Past

July 2, 1992 - February 14, 1995

OSAIC WEALTH, INC.

CRD#: 23131

Past

December 23, 1986 - July 1, 1992

KAVANAUGH SECURITIES, INC.

CRD#: 10606

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STANLEY CAPITAL MANAGEMENT, LLC

STANLEY CAPITAL MANAGEMENT LLC | STANLEY CAPITAL MANAGEMENT, LLC

CRD#: 156468 / SEC#: 801-110802

RIA

Registered Investment Advisory firm - (6/23/2017 Approved)

Texas

Registered Investment Advisory firm - (2/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(8/11/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Current Firm

STANLEY CAPITAL MANAGEMENT, LLC

STANLEY CAPITAL MANAGEMENT LLC | STANLEY CAPITAL MANAGEMENT, LLC

CRD#: 156468 / SEC#: 801-110802

RIA

Registered Investment Advisory firm - (6/23/2017 Approved)

Texas

Registered Investment Advisory firm - (2/17/2015 Terminated)

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Contact information

Main Address

3200 Southwest Freeway Suite 3140, Houston, TX 77027

Mailing Address

Phone number

(713) 900-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

STANLEY CAPITAL MANAGEMENT, LLC - BROCHURE SUPPLEMENT (2/9/2026)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 634,621,352

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	6/12/2017

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark A. Kaufman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Kaufman's CRS (Customer Relationship Summary).

Certified licenses

Experience

STANLEY CAPITAL MANAGEMENT, LLC

LINSCOMB WEALTH, INC.

LINSCOMB WEALTH, INC.

OSAIC WEALTH, INC.

KAVANAUGH SECURITIES, INC.

Primary Firm SEC Registration

STANLEY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2012

Series 63

Date: 11/25/1986

Series 7

Date: 12/20/1986

Current Firm

STANLEY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

STANLEY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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