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A3 CAPITAL ADVISORS

HOUSTON, TX · CRD 338956 · IAPD ↗ · a3capitaladvisors.com · 713-447-5856

$236.8MRegulatory AUM
1Advisory reps
2Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — A3 CAPITAL ADVISORS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
65
March 2026 — A3 CAPITAL ADVISORS now reports custody of client assets ($161.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
December 2025 — A3 CAPITAL ADVISORS (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 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.