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CAP SIX ADVISORS

HOUSTON, TX · CRD 325164 · IAPD ↗ · cap-six.com · 281-671-7982

$340.8MRegulatory AUM
3Advisory reps
5Employees
0Clients
n/aPlanning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — CAP SIX ADVISORS added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2026 — CAP SIX ADVISORS reported RAUM up 27% ($268.2M -> $340.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
December 2025 — CAP SIX ADVISORS notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
April 2025 — CAP SIX ADVISORS notice-filed in CO, KS, MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — CAP SIX ADVISORS began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
98
February 2025 — CAP SIX ADVISORS (HOUSTON, TX) is newly SEC-registered with $279.4M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.