SJ
Sonia C. Joao
ROBERTSON INVESTMENT MANAGEMENT
Houston, TX 77002
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CRD#: 4852666
SJ
Professional summary
Sonia Constance Joao is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas.
Sonia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sonia has worked at 2 firms and has passed the Series 65 exam.
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 Sonia Constance Joao'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
August 6, 2020 - Present
ROBERTSON INVESTMENT MANAGEMENT
Office #1: 919 Milam St Suite 500, Houston, TX 77002RIA
CRD#: 115425
Houston, TX
Past
January 19, 2020 - August 7, 2020
SIZEMORE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 146961
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".
RI
ROBERTSON INVESTMENT MANAGEMENT
ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425 / SEC#: 801-120446
RIA
Registered Investment Advisory firm - (4/2/2021 Approved)Texas
Registered Investment Advisory firm - (4/7/2021 Terminated)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
California(5/18/2021)
IAR
Colorado(5/18/2021)
IAR
Louisiana(5/18/2021)
IAR
New York(5/18/2021)
IAR
Texas(8/6/2020)
Current Firm
RI
ROBERTSON INVESTMENT MANAGEMENT
ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425 / SEC#: 801-120446
RIA
Registered Investment Advisory firm - (4/2/2021 Approved)Texas
Registered Investment Advisory firm - (4/7/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
919 Milam St Suite 500, Houston, TX 77002
Mailing Address
Phone number
(713) 622-4077
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 779 |
| AUM (Assets Under Management) | $ 273,053,474 |
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 |
|---|---|---|
| Colorado | ERA - Withdrawn | 12/22/2020 |
| Louisiana | ERA - Withdrawn | 12/22/2020 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425Houston, TX 77002TRUST BUT VERIFY
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