MT
Mark R. Tracy
KM CAPITAL MANAGEMENT, LTD.
Austin, TX 78744
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CRD#: 6288468
MT
Professional summary
Mark Ruben Tracy, CFP® is a registered financial advisor currently at KM CAPITAL MANAGEMENT, LTD. located in Austin, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Mark has worked at 1 firm .
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ruben Tracy'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®
Experience
Current
January 22, 2014 - Present
KM CAPITAL MANAGEMENT, LTD.
Office #1: 1701 Directors Blvd. Suite 370, Austin, TX 78744RIA
CRD#: 132887
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".
KC
KM CAPITAL MANAGEMENT, LTD.
KM CAPITAL MANAGEMENT, LTD.
CRD#: 132887 / SEC#: 801-110262
RIA
Registered Investment Advisory firm - (4/12/2017 Approved)Georgia
Registered Investment Advisory firm - (6/9/2017 Terminated)Louisiana
Registered Investment Advisory firm - (6/9/2017 Terminated)Texas
Registered Investment Advisory firm - (6/9/2017 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(1/22/2014)
Exams
Current Firm
KC
KM CAPITAL MANAGEMENT, LTD.
KM CAPITAL MANAGEMENT, LTD.
CRD#: 132887 / SEC#: 801-110262
RIA
Registered Investment Advisory firm - (4/12/2017 Approved)Georgia
Registered Investment Advisory firm - (6/9/2017 Terminated)Louisiana
Registered Investment Advisory firm - (6/9/2017 Terminated)Texas
Registered Investment Advisory firm - (6/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1701 Directors Blvd. Suite 370, Austin, TX 78744
Mailing Address
Phone number
(512) 697-0290
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 249 |
| AUM (Assets Under Management) | $ 356,825,630 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
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.
