Michael E. Rome

DOLIVER ADVISORS, L.P.

Houston, TX 77057

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CRD#: 1587609

Professional summary

Michael Eugene Rome, who also goes by Mike Rome, is a registered financial advisor currently at DOLIVER ADVISORS, L.P. located in Houston, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Michael has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Rome

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 Michael Eugene Rome'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

May 26, 2020 - Present

DOLIVER ADVISORS, L.P.

Office #1: 6363 Woodway Suite 763, Houston, TX 77057

RIA

CRD#: 106247

Houston, TX

Past

December 20, 2016 - November 6, 2020

CHILTON CAPITAL MANAGEMENT LLC

RIA

CRD#: 104592

HOUSTON, TX

Past

August 30, 2013 - November 14, 2016

TEXAN CAPITAL

RIA

CRD#: 114247

HOUSTON, TX

Past

October 19, 2006 - May 9, 2013

BRIDGEWAY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 111441

HOUSTON, TX

Past

December 18, 2003 - May 10, 2013

FORESIDE FUND SERVICES, LLC

CRD#: 46106

HOUSTON, TX

Past

June 14, 2002 - December 19, 2002

USF SECURITIES, L.P.

CRD#: 37942

HOUSTON, TX

Past

February 4, 1999 - December 18, 2001

FUND MANAGEMENT COMPANY

CRD#: 25585

HOUSTON, TX

Past

January 12, 1993 - September 19, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 15, 1990 - January 14, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 24, 1987 - June 12, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

DOLIVER ADVISORS, L.P.

CRD#: 106247 / SEC#: 801-44471

RIA

Registered Investment Advisory firm - (8/11/1993 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
(5/26/2020)

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: 6/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Current Firm

DOLIVER ADVISORS, L.P.

CRD#: 106247 / SEC#: 801-44471

RIA

Registered Investment Advisory firm - (8/11/1993 Approved)

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Contact information

Main Address

6363 Woodway Suite 763, Houston, TX 77057

Mailing Address

Phone number

(713) 917-0022

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

YE2024 DOLIVER ADVISORS FORM ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	545
AUM (Assets Under Management)	$ 599,460,734

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

Michael E. Rome

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Eugene Rome's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHILTON CAPITAL MANAGEMENT LLC

TEXAN CAPITAL

BRIDGEWAY CAPITAL MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

USF SECURITIES, L.P.

FUND MANAGEMENT COMPANY

CIBC WORLD MARKETS CORP.

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DOLIVER ADVISORS, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2009

Series 63

Date: 3/17/1987

Series 7

Date: 2/21/1987

Current Firm

DOLIVER ADVISORS, L.P.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOLIVER ADVISORS, L.P.

TRUST BUT VERIFY

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