Mitchell J. Herr

CUSTOS FAMILY OFFICE LLC

Austin, TX

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CRD#: 5634419

Professional summary

Mitchell John Herr is a registered financial advisor currently at CUSTOS FAMILY OFFICE LLC located in Austin, Texas.

Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Mitchell has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10 and Series 9 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.

1) Custos Texas, LLC; Investment related; 32 Lovegrass Lane, Austin, TX 78745; business entity for tax purposes only; Member and partial direct owner of Custos Family Office; 0 hours per month during trading hours; pass through entity for Custos Family Office income for tax purposes. 2) Fisher59, 5050 W University Dr, DENTON, TX 76207. BEER DISTRIBUTION, NOT INVESTMENT RELATED, MEMBER OF ADVISORY BOARD SINCE 12/19/2014. 2 HOURS/MONTH TO OTHER BUSINESS. 0 HOURS DEVOTED DURING SECURITIES TRADING HRS. DUTIES INCLUDE ANALYZING EXISTING LOGISTICS, EQUIPMENT, AND FACILITIES, AND REVIEWING THE CORRESPONDING CORPORATE FINANCIALS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell John Herr'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

May 7, 2018 - Present

CUSTOS FAMILY OFFICE LLC

RIA

CRD#: 294025

Austin, TX

Past

April 6, 2010 - April 24, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

AUSTIN, TX

Past

February 12, 2010 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

AUSTIN, TX

Past

January 29, 2009 - March 19, 2010

WATERSTREET INVESTMENT CONSULTANTS, LLC

RIA

CRD#: 132485

AUSTIN, 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".

CUSTOS FAMILY OFFICE LLC

CRD#: 294025 / SEC#: 801-117243

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2019 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
(5/7/2018)

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: 7/2/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/27/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/12/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/3/2017

General Securities Sales Supervisor - Options Module Examination

Current Firm

CUSTOS FAMILY OFFICE LLC

CRD#: 294025 / SEC#: 801-117243

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(303) 578-7024

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP BROCHURE (4/21/2025)

PART 2A BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 729,594,023

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.

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Firm Stability Insights

Mitchell J. Herr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell John Herr's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WATERSTREET INVESTMENT CONSULTANTS, LLC

Primary Firm SEC Registration

CUSTOS FAMILY OFFICE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/2010

Series 65

Date: 1/27/2009

SIE

Date: 4/24/2018

Series 7

Date: 4/5/2010

Series 10

Date: 4/12/2017

Series 9

Date: 2/3/2017

Current Firm

CUSTOS FAMILY OFFICE LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CUSTOS FAMILY OFFICE LLC

TRUST BUT VERIFY

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