Arthur H. Sherman

TECTONIC ADVISORS LLC

FRISCO, TX 75034

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CRD#: 2813406

Professional summary

Arthur Haag Sherman is a registered financial advisor currently at TECTONIC ADVISORS LLC located in Frisco, Texas and SANDERS MORRIS LLC located in Houston, Texas.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Arthur has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.

1. BIGFOOT ENERGY SERVICES & AFFILIATES; NOT INVESTMENT-RELATED; 312 W SABINE ST, CARTHAGE, TX 75633; ENERGY SERVICES; CO-OWNER; 3/1/12; 20 HRS/MO; ACTIVE OWNER. 2. HILLTOP HOLDINGS, INC.; INVESTMENT RELATED; 200 CRESCENT COURT SUITE 1330 DALLAS, TX 75201; BANK HOLDING CO.; DIRECTOR; 11/2012; 5 HRS/MO; DIRECTOR DUTIES. 3.. Sanders Morris Harris INVESTMENT RELATED; 600 Travis SUITE 5900 HOUSTON, TX 77002; BROKER/DEALER; 2017; Registered Representative. 4. Tectonic Advisors, investment related, Plano, TX, registered investment advisor, CEO and CIO, 02/2015, approximately 100 hours/month with approximately 80 hours/month during securities trading hours. 5. CBIZ; NOT INVESTMENT-RELATED; 6050 OAK TREE BLVD STE 500, INDEPENDENCE OH 44131; ACCOUNTING, PAYROLL SERVICES, CONSULTING; DIRECTOR; 7/2/20; 1-5 HRS/MO;DIRECTOR DUTIES. 6. T-BANK, INVESTMENT RELATED, DALLAS TX, BANKING AND TRUST, CHAIRMAN OF THE BOARD, JULY 2017,6-10 HRS MONTH NON BUSINESS HRS, 6-10 HRS MONTH BUSINESS HRS, CHAIRMAN OF TH BOARD DUTIES. 7. TECTONIC FINANCIAL, INC. INVESTMENT RELATED, HOUSTON TX, JULY 2019, 6-10 HRS MONTH NON BUSINESS HRS, 6-10 HRS MONTH DURING BUSINESS HRS. CHAIRMAN OF THE BOARD DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Haag Sherman'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

April 28, 2015 - Present

TECTONIC ADVISORS LLC

Office #1: 17 Cowboys Way Ste 250, Frisco, TX 75034Office #2: 600 Travis Suite 5900, Houston, TX 77002

RIA

CRD#: 139713

FRISCO, TX

Current

March 14, 2017 - Present

SANDERS MORRIS LLC

Office #1: 600 Travis Suite 5900, Houston, TX 77002-3003

RIA

CRD#: 20580

Houston, TX

Past

April 25, 2018 - January 17, 2019

PRIVUS FINANCIAL, LLC

RIA

CRD#: 291495

PLANO, TX

Past

June 7, 2016 - October 26, 2016

TECTONIC SECURITIES, LLC

CRD#: 281623

Houston, TX

Past

July 26, 2011 - November 11, 2011

SUSTAINABLE WOODLANDS PARTNERS, LLC

RIA

CRD#: 157862

HOUSTON, TX

Past

February 18, 2011 - April 8, 2015

SALIENT CAPITAL ADVISORS, LLC

RIA

CRD#: 153914

HOUSTON, TX

Past

December 22, 2010 - November 11, 2011

INTEGRITY CAPITAL, LLC

RIA

CRD#: 151719

HOUSTON, TX

Past

November 6, 2008 - April 8, 2015

SALIENT CAPITAL L.P.

CRD#: 147912

HOUSTON, TX

Past

December 1, 2006 - November 11, 2011

GHE ADVISERS, L.P.

RIA

CRD#: 141451

HOUSTON, TX

Past

September 7, 2006 - November 13, 2008

SANDERS MORRIS LLC

RIA

CRD#: 20580

HOUSTON, TX

Past

January 15, 2004 - April 8, 2015

CYPRESS CREEK PARTNERS

RIA

CRD#: 129346

HOUSTON, TX

Past

September 4, 2003 - November 13, 2008

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

September 13, 2002 - April 8, 2015

SALIENT ADVISORS, L.P.

RIA

CRD#: 122833

HOUSTON, TX

Past

June 2, 1999 - September 18, 2002

HITHERLANE PARTNERS, LLC

CRD#: 46604

BOCA RATON, FL

Past

May 4, 1999 - September 18, 2002

HITHERLANE PARTNERS, LLC

RIA

CRD#: 46604

HOUSTON, TX

Past

March 18, 1997 - November 18, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

TECTONIC ADVISORS LLC

III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC

CRD#: 139713 / SEC#: 801-66385

RIA

Registered Investment Advisory firm - (4/21/2006 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(4/28/2015)

Texas
(9/14/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/28/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TECTONIC ADVISORS LLC

III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC

CRD#: 139713 / SEC#: 801-66385

RIA

Registered Investment Advisory firm - (4/21/2006 Approved)

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Contact information

Main Address

17 Cowboys Way Ste 250, Frisco, TX 75034

Mailing Address

Phone number

(713) 250-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TECTONIC ADVISORS LLC FORM ADV PART 2 BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	7,991
AUM (Assets Under Management)	$ 4,346,451,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/24/2024	Cover Page	Report
03/06/2023	Cover Page	Report

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

Arthur H. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Haag Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDERS MORRIS LLC

PRIVUS FINANCIAL, LLC

TECTONIC SECURITIES, LLC

SUSTAINABLE WOODLANDS PARTNERS, LLC

SALIENT CAPITAL ADVISORS, LLC

INTEGRITY CAPITAL, LLC

SALIENT CAPITAL L.P.

GHE ADVISERS, L.P.

SANDERS MORRIS LLC

CYPRESS CREEK PARTNERS

SANDERS MORRIS LLC

SALIENT ADVISORS, L.P.

HITHERLANE PARTNERS, LLC

HITHERLANE PARTNERS, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

TECTONIC ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1997

Series 63

Date: 8/5/1997

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1997

Series 53

Date: 12/28/2009

Series 24

Date: 3/17/1999

FINRA

Current Firm

TECTONIC ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TECTONIC ADVISORS LLC

TRUST BUT VERIFY

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