David S. Hescheles

CAZ INVESTMENTS L.P.

Houston, TX 77056

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CRD#: 2564308

Professional summary

David Scott Hescheles, who also goes by David Hescheles, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. David has worked at 12 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 55, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Hescheles

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 David Scott Hescheles'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

January 30, 2025 - Present

CAZ INVESTMENTS L.P.

Office #1: One Riverway Suite 2000, Houston, TX 77056

RIA

CRD#: 113931

Houston, TX

Past

October 12, 2015 - October 13, 2023

HARTFORD FUNDS

RIA

CRD#: 147746

Ann Arbor, MI

Past

October 2, 2015 - October 13, 2023

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Ann Arbor, MI

Past

January 1, 2005 - July 7, 2015

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

September 8, 2004 - July 7, 2015

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

July 24, 2001 - July 30, 2004

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

Past

October 12, 2000 - March 5, 2001

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

March 7, 2000 - December 15, 2000

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

April 6, 1999 - January 25, 2000

KNIGHT CAPITAL MARKETS LLC

CRD#: 38379

PURCHASE, NY

Past

January 1, 1999 - April 5, 1999

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

January 5, 1998 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

April 13, 1995 - January 9, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 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
(1/30/2025)

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: 12/22/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/24/2023

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/10/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/16/1995

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/12/1995

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2010

General Securities Principal Examination

Current Firm

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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Contact information

Main Address

One Riverway Suite 2000, Houston, TX 77056

Mailing Address

Phone number

(713) 403-8250

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

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	10,613
AUM (Assets Under Management)	$ 8,653,972,299

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

David S. Hescheles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Hescheles's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS

HARTFORD FUNDS DISTRIBUTORS, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

SECURITIES MANAGEMENT & RESEARCH, INC.

SERVICE ASSET MANAGEMENT COMPANY

PENSON FINANCIAL SERVICES, INC.

KNIGHT CAPITAL MARKETS LLC

OPPENHEIMER & CO. INC.

FIRST OF MICHIGAN CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2004

Series 63

Date: 4/27/1995

Series 3

Date: 2/24/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/10/2000

Series 7

Date: 6/16/1995

Series 52

Date: 4/12/1995

Series 24

Date: 12/3/2010

Current Firm

CAZ INVESTMENTS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAZ INVESTMENTS L.P.

TRUST BUT VERIFY

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