Robert P. Gauntt
CAPITAL CREEK PARTNERS | FOUNDING PARTNER / CEO
Austin, TX 78703
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CRD#: 1551568
Professional summary
Robert Paul Gauntt is a registered financial advisor currently at CAPITAL CREEK PARTNERS located in Austin, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Robert has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 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.
Effective 09/2017, Mr. Gauntt was appointed to the Board of The University of Texas Investment Management Company ("UTIMCO") and participates in the UTIMCO Compensation and Risk Committees. UTIMCO is a 501(c)(3) corporation engaged by the Board of Regents of The University of Texas System to enhance the process by which various Funds' investments are governed and managed. UTIMCO is located at 401 Congress Ave, Suite 2800, Austin, TX 78701-3794. Mr. Gauntt is responsible for attending quarterly meetings as well as two to four committee meetings per year.
As of 11/2017, Mr. Gauntt serves as an uncompensated advisory board member for Treaty Oak Equity LLC ("Treaty Oak"). Mr. Gauntt provides investment advice to Treaty Oak, which is an unregistered private equity firm located at 1013 Rio Grand St. Austin, TX, 78701. Mr. Gauntt's role at Treaty Oak involves attendance at 1-2 hour calls quarterly. These calls usually take place after trading hours but occasionally may occur during trading hours.
Since 09/2019, Mr. Gauntt serves as a General Partner to Capstar Ventures LP ("Capstar"). Capstar is a venture capital fund investing in consumer companies, located at 1303 San Antonio Street, Suite 100, Austin, TX, 78701. Mr. Gauntt provides advisory services but is not actively involved in management or decision-making. Mr. Gauntt also assists Capstar with fundraising, but is not compensated for such activities. He attends occasional 1-2 hour meetings and sometimes makes introductions for fundraising purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Paul Gauntt'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®
NoneExperience
Current
February 4, 2021 - Present
CAPITAL CREEK PARTNERS
Office #1: 1608 W. 5th St. Suite 200, Austin, TX 78703RIA
CRD#: 301211
Austin, TX
Past
January 14, 2013 - February 20, 2019
AVALON WEALTH MANAGEMENT LLC
BD
CRD#: 162745
HOUSTON, TX
Past
May 11, 2001 - February 20, 2019
AVALON INVESTMENT & ADVISORY
RIA
CRD#: 112556
HOUSTON, TX
Past
May 21, 1996 - May 4, 2001
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
January 1, 1991 - May 15, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 14, 1990 - June 3, 1996
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 6, 1988 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
Past
September 24, 1986 - December 19, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
CC
CAPITAL CREEK PARTNERS
CAPITAL CREEK PARTNERS | CAPITAL CREEK PARTNERS, LLC
CRD#: 301211 / SEC#: 801-115166
RIA
Registered Investment Advisory firm - (4/29/2019 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(2/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
CAPITAL CREEK PARTNERS
CAPITAL CREEK PARTNERS | CAPITAL CREEK PARTNERS, LLC
CRD#: 301211 / SEC#: 801-115166
RIA
Registered Investment Advisory firm - (4/29/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1608 W. 5th St. Suite 200, Austin, TX 78703
Mailing Address
Phone number
(512) 316-3397
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 518 |
| AUM (Assets Under Management) | $ 1,242,852,154 |
Red Flags
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