Rick J. Fratus

STAFFORD CAPITAL PARTNERS

Austin, TX 78703

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CRD#: 5115264

Professional summary

Rick John Fratus is a registered financial advisor currently at STAFFORD CAPITAL PARTNERS INC. located in Austin, Texas.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Rick has worked at 2 firms and has passed the Series 63, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick John Fratus'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®

None

Experience

Current

July 21, 2014 - Present

STAFFORD CAPITAL PARTNERS INC.

Office #1: 1717 West 6th Street Suite 234, Austin, TX 78703

RIA

CRD#: 171419

Austin, TX

Past

June 15, 2006 - July 15, 2011

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

CARLSBAD, CA

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".

STAFFORD CAPITAL PARTNERS INC.

STAFFORD CAPITAL PARTNERS INC. | STAFFORD PRIVATE EQUITY INC.

CRD#: 171419 / SEC#: 801-79741

RIA

Registered Investment Advisory firm - (6/5/2014 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
(7/21/2014)

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

Series 63

Date: 6/15/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2008

General Securities Principal Examination

Current Firm

STAFFORD CAPITAL PARTNERS INC.

STAFFORD CAPITAL PARTNERS INC. | STAFFORD PRIVATE EQUITY INC.

CRD#: 171419 / SEC#: 801-79741

RIA

Registered Investment Advisory firm - (6/5/2014 Approved)

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Contact information

Main Address

1717 West 6th Street, Suite 234, Austin, TX 78703

Mailing Address

Phone number

(512) 334-6489

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

STAFFORD CAPITAL PARTNERS INC ADV PART IIA FY2024 (9/25/2025)

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 1,720,208,004

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Rick J. Fratus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick John Fratus's CRS (Customer Relationship Summary).

Certified licenses

Experience

STAFFORD CAPITAL PARTNERS INC.

MACQUARIE CAPITAL (USA) INC.

Primary Firm SEC Registration

STAFFORD CAPITAL PARTNERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/2006

Series 7

Date: 6/14/2006

Series 24

Date: 4/30/2008

Current Firm

STAFFORD CAPITAL PARTNERS INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STAFFORD CAPITAL PARTNERS INC.

TRUST BUT VERIFY

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