Richard Anthony Funk
CFP®Professional Summary
Richard Anthony Funk, CFP® is a registered financial advisor currently at BRAZOS CAPITAL located in Austin, Texas. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
BRAZOS CAPITAL | BRAZOS CAPITAL, LLC
Contact Information
Main Address
200 Congress Avenue Suite 902, Austin, TX 78701Phone Number
(512) 827-0826# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
172AUM (Assets Under Management)
$102,528,960Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BRAZOS CAPITAL | BRAZOS CAPITAL, LLC
State Registrations and Notice Filings
(9/15/2017)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Anthony Funk's CRS (Customer Relationship Summary).
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