← Tributary

FLAGSHIP INVESTMENT MANAGEMENT LLC

HOUSTON, TX · CRD 332788 · IAPD ↗ · flagshipco.com · 1-713-623-6000

$140.0MRegulatory AUM
5Advisory reps
12Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

35
March 2026 — FLAGSHIP INVESTMENT MANAGEMENT LLC shrank from 7 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
50
April 2025 — FLAGSHIP INVESTMENT MANAGEMENT LLC now reports custody of client assets ($112.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
55
April 2025 — FLAGSHIP INVESTMENT MANAGEMENT LLC now reports 2 private fund(s) ($67.5M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
December 2024 — FLAGSHIP INVESTMENT MANAGEMENT LLC (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 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.