WB
Whitney R. Bowman
GAUGE CAPITAL
Southlake, TX 76092
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CRD#: 3194882
WB
Professional summary
Whitney Richard Bowman is a registered financial advisor currently at GAUGE CAPITAL located in Southlake, Texas.
Whitney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Whitney has worked at 2 firms .
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.
CRS (Client Relationship Summary) - RIA
Click below to view Whitney Richard Bowman'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
May 6, 2015 - Present
GAUGE CAPITAL
Office #1: 1256 Main Street Suite 256, Southlake, TX 76092RIA
CRD#: 169890
Southlake, TX
Past
April 12, 2012 - October 24, 2013
CIC PARTNERS MANAGEMENT LLC
RIA
CRD#: 158019
DALLAS, TX
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".
GC
GAUGE CAPITAL
GAUGE CAPITAL | GAUGE CAPITAL LLC
CRD#: 169890 / SEC#: 801-86176
RIA
Registered Investment Advisory firm - (4/6/2015 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(5/6/2015)
Exams
Current Firm
GC
GAUGE CAPITAL
GAUGE CAPITAL | GAUGE CAPITAL LLC
CRD#: 169890 / SEC#: 801-86176
RIA
Registered Investment Advisory firm - (4/6/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1256 Main Street Suite 256, Southlake, TX 76092
Mailing Address
Phone number
(682) 334-5800
Established
Firm type
Fiscal year end
# of Employees
61
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 3,406,330,320 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/27/2015 |
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.
