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Thomas W. Dunaway III

Thomas W. Dunaway

THE SUM | Financial Consultant
The Woodlands, TX 77381
Some features on this profile are disabled
CRD#: 5732056
Thomas W. Dunaway III

Professional summary

Thomas W. Dunaway III, who also goes by Thomas William Dunaway III, Thomas William Dunaway, Thomas W Dunaway III, Trey William Dunaway Iii, is a registered financial advisor currently at THE SUM located in The Woodlands, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I partner with individuals and families to help them work towards financial peace of mind through goal based planning.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas William Dunaway Iii | Thomas William Dunaway | Thomas W Dunaway Iii | Trey William Dunaway Iii

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 Thomas W. Dunaway 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

Education

Texas A & M University

Bachelor of Business Administration - Finance

2009

Experience

Current

July 3, 2025 - Present

THE SUM

Office #1: 4526 Research Forest Dr. Suite 240, The Woodlands, TX 77381
RIA
CRD#: 297658
The Woodlands, TX
Past

March 31, 2025 - July 3, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
TOMBALL, TX
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
THE WOODLANDS, TX
Past

October 22, 2010 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
THE WOODLANDS, TX
Past

March 12, 2010 - July 3, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
THE WOODLANDS, 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".
TS
THE SUM
THE PLANNING PROJECT LLC | THE SUM

CRD#: 297658 / SEC#: 801-122376

RIA
Registered Investment Advisory firm - (9/23/2021 Approved)
Texas
Registered Investment Advisory firm - (10/4/2021 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
Texas
(7/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/21/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2010
General Securities Representative Examination

Current Firm

TS
THE SUM
THE PLANNING PROJECT LLC | THE SUM

CRD#: 297658 / SEC#: 801-122376

RIA
Registered Investment Advisory firm - (9/23/2021 Approved)
Texas
Registered Investment Advisory firm - (10/4/2021 Terminated)
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Contact information

Main Address
4526 Research Forest Dr. Suite 240, The Woodlands, TX 77381
Mailing Address
Phone number
(281) 940-4859
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/8/2025)

Regulatory assets under management

Total Number of Accounts875
AUM (Assets Under Management)$ 409,460,174

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.

Company Information

THE SUM

Financial ConsultantCRD#: 297658The Woodlands, TX 77381

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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