Kenneth A. Moffet

HOURGLASS CAPITAL

Houston, TX 77006

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CRD#: 1508178

Professional summary

Kenneth Archer Moffet is a registered financial advisor currently at HOURGLASS CAPITAL, LLC located in Houston, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 5 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 Kenneth Archer Moffet's CRS (Customer Relationship Summary).

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 7, 2008 - Present

HOURGLASS CAPITAL, LLC

Office #1: 5020 Montrose Blvd Suite 400, Houston, TX 77006

RIA

CRD#: 147754

Houston, TX

Past

October 26, 2004 - May 13, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HOUSTON, TX

Past

October 21, 2004 - May 13, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

HOUSTON, TX

Past

June 2, 1988 - November 2, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 2, 1986 - July 28, 1988

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

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".

HOURGLASS CAPITAL, LLC

CRD#: 147754 / SEC#: 801-69395

RIA

Registered Investment Advisory firm - (8/4/2008 Approved)

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
(8/7/2008)

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: 7/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/21/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 7/29/1988

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 7/27/1988

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

HOURGLASS CAPITAL, LLC

CRD#: 147754 / SEC#: 801-69395

RIA

Registered Investment Advisory firm - (8/4/2008 Approved)

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Contact information

Main Address

5020 Montrose Blvd Suite 400, Houston, TX 77006

Mailing Address

Phone number

(713) 936-0440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOURGLASS CAPITAL, LLC ADV PART 2: FIRM BROCHURE AND SUPPLEMENT (3/25/2025)

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 598,456,000

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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Advisor Monitoring

Firm Stability Insights

Kenneth A. Moffet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Archer Moffet's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

GOLDMAN SACHS & CO. LLC

CITICORP FINANCIAL SERVICES,INC.

Primary Firm SEC Registration

HOURGLASS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2000

Series 63

Date: 8/25/1986

Series 3

Date: 9/21/1988

Series 15

Date: 7/29/1988

Series 5

Date: 7/27/1988

Series 7

Date: 5/17/1986

Current Firm

HOURGLASS CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOURGLASS CAPITAL, LLC

TRUST BUT VERIFY

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