Harvey P. Steele

CAZ INVESTMENTS L.P.

Houston, TX 77056

Some features on this profile are disabled

CRD#: 4952306

Professional summary

Harvey Patrick Steele III, who also goes by Harvey P. Steele III, Harvey Patrick Steele, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas.

Harvey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Harvey has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harvey P. Steele Iii | Harvey Patrick Steele

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.

Westwood Management Corp.; Dallas, TX; Investment Related; Began 12/3/2018; Head of Intermediary Distribution - Mutual Funds and SMAs; Senior Vice President; 200 hours per month with 150 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Patrick Steele III'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

July 13, 2024 - Present

CAZ INVESTMENTS L.P.

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

RIA

CRD#: 113931

Houston, TX

Past

January 9, 2019 - June 13, 2024

WESTWOOD MANAGEMENT CORP

RIA

CRD#: 110269

DALLAS, TX

Past

December 19, 2018 - June 18, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

DALLAS, TX

Past

April 30, 2007 - June 15, 2018

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

LAUDERDALE BY THE SEA, FL

Past

April 27, 2007 - June 15, 2018

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

LAUDERDALE BY THE SEA, FL

Past

August 21, 2006 - April 30, 2007

COHEN & STEERS SECURITIES, LLC

CRD#: 29258

NEW YORK, NY

Past

July 25, 2005 - August 11, 2006

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

June 29, 2005 - August 11, 2006

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, 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".

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
(7/13/2024)

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 66

Date: 7/22/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/14/2011

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harvey P. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Patrick Steele III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTWOOD MANAGEMENT CORP

FORESIDE FUND SERVICES, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

COHEN & STEERS SECURITIES, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/22/2005

SIE

Date: 6/15/2018

Series 7

Date: 6/28/2005

Series 24

Date: 1/14/2011

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

Similar Advisors