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Ned Nelson Fleming Iii

SUNTX CAPITAL MANAGEMENT
DALLAS, TX
·CRD# 6028856·14 years experience

Professional Summary

Ned Nelson Fleming III is a registered financial advisor currently at SUNTX CAPITAL MANAGEMENT CORP. located in Dallas, Texas. Ned is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ned has worked at 1 firm.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

14 years in the financial services industry

Current & Past Employments

SUNTX CAPITAL MANAGEMENT CORP.·CRD# 161332
RIA
Two Lincoln Centre 5420 Lbj Freeway, Suite 950, Dallas, TX 75240
June 1, 2012 - Present

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Current Firm

SC
SUNTX CAPITAL MANAGEMENT CORP.

IXTHYS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) | SUNTX CAPITAL SBIC CORP. (RELYING ADVISER) | SUNTX CAPITAL PARTNERS | SUNTX CAPITAL MANAGEMENT CORP. | SUNTX CAPITAL III MANAGEMENT CORP. (RELYING ADVISER) | SUNTX CAPITAL II MANAGEMENT CORP. (RELYING ADVISER)

CRD#: 161332 / SEC#: 801-74045
RIA
Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Contact Information

Main Address

Two Lincoln Centre 5420 Lbj Freeway, Suite 950, Dallas, TX 75240

Phone Number

(972) 663-8900

# of Employees

14

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

3

AUM (Assets Under Management)

$554,238,756

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
10/25/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

SunTx Capital Management, LLC (SunTx) is registered as an investment adviser with the Securities and Exchange Commission (SEC) and provides investment management services for private funds and related co-investment entities (the SunTx Funds). Certain affiliated entities of SunTx that serve as management companies to the SunTx Funds rely on SunTx's registration under an umbrella registration. Mr. Fleming serves as the Managing Partner of the adviser and each relying adviser as well as other affiliated entities that serve as general partners to the SunTx Funds. Each relying adviser and general partner is identified in SunTx's Form ADV and shares a place of business with SunTx. Mr. Fleming serves as an officer or director for certain SunTx portfolio companies. Mr. Fleming has established or may establish, and may sponsor other investment teams that establish, private funds or pooled vehicles to invest in real estate, commodities and other opportunities that are outside of the SunTx Funds' investment parameters. Such investments do not involve securities and are not part of SunTx's investment advisory activities. Mr. Fleming has also, to the extent permitted by the Funds' Governing Documents, engaged in private investment opportunities that are outside the investment parameters of the SunTx Funds. Mr. Fleming does not engage in any investment-related business or occupation, other than the activities of SunTx and its affiliates and such other activities as discussed in SunTx's Form ADV Parts 2A and 2B. Mr. Fleming is not actively engaged in any other business or occupation that provides him with a substantial source of income or involves a substantial amount of his time, other than his participation in the activities of SunTx and its affiliates and such other activities as discussed in SunTx's Form ADV Parts 2A and 2B.

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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".
SC
SUNTX CAPITAL MANAGEMENT CORP.

IXTHYS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) | SUNTX CAPITAL SBIC CORP. (RELYING ADVISER) | SUNTX CAPITAL PARTNERS | SUNTX CAPITAL MANAGEMENT CORP. | SUNTX CAPITAL III MANAGEMENT CORP. (RELYING ADVISER) | SUNTX CAPITAL II MANAGEMENT CORP. (RELYING ADVISER)

CRD#: 161332 / SEC#: 801-74045
RIA
Registered Investment Advisory firm - SEC (3/30/2012 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.
IAR
Texas
(6/1/2012)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Client Relationship Summary) - RIA

Click below to view Ned Nelson Fleming III's CRS (Customer Relationship Summary).

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