Robert Pfeifer is Managing Director / Chief Compliance Officer and Secretary of Frost Investment Advisors, is a control person of the firm and directly owns under 5% of it. Robert Pfeifer holds a Bachelor of Business Administration in Marketing from the University of North Texas.
Frost Investment Advisors, LLC is a San Antonio, TX firm with $5.36B under management, 9 clients and 31 advisers in one office, as of its March 2026 filing.
Bob Pfeifer is Chief Compliance Officer of Frost Investment Advisors. He joined the adviser in 2010 as a Compliance Officer and moved into the Chief Compliance Officer role in 2012. He is primarily responsible for oversight and management of a compliance team that conducts due diligence and analysis of the adviser's marketing collateral, and his responsibilities include verifying compliance with internal policies and the Investment Advisers Act of 1940. Before joining, he had over 12 years of experience in compliance roles in financial services.
Robert Pfeifer’s longest registration is the current one, 16 years at Frost Investment Advisors since 2010. Before joining Frost Investment Advisors in 2010, Robert Pfeifer was registered through Commerce Street Investment Advisor, LLC and First Southwest Asset Management Inc.
- – present · 16 yearsSan Antonio, TX · Adviser representative · Firm CRD 146148
- Commerce Street Investment Advisor, LLC– · 2 yearsDallas, TX · Adviser representative · Firm CRD 144278
- First Southwest Asset Management Inc– · under a yearDallas, TX · Adviser representative · Firm CRD 110760
Investment adviser representative registrations
Robert Pfeifer is registered as an investment adviser representative in Texas, since September 2010.
- TexasSince 9 September 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 55 | Limited Representative-Equity Trader Exam | 9 July 2001 |
| Series 4 | Registered Options Principal Examination | 8 July 1999 |
| Series 53 | Municipal Securities Principal Examination | 1 June 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 18 February 1999 |
| Series 24 | General Securities Principal Examination | 12 January 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 November 1998 |
| Series 7 | General Securities Representative Examination | 28 October 1998 |
- Name
- Limited Representative-Equity Trader Exam
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Robert Dean Pfeifer
- CRD
- 3124248
- Firm
- Frost Investment Advisors · CRD 146148
- Role
- Managing Director / Chief Compliance Officer; Secretary
- Office
- 111 WEST HOUSTON STREET, 10TH FLOOR, San Antonio, TX 78205
- Registration
- Investment adviser registration
- In the industry since
- August 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- frostinv.com
Where does Robert Pfeifer work?
Robert Pfeifer is Managing Director / Chief Compliance Officer; Secretary of Frost Investment Advisors, LLC, and is a control person of the firm.
Is Robert Pfeifer a financial advisor?
Yes. Robert Pfeifer has a current investment-adviser registration in Texas, through Frost Investment Advisors since September 2010.
How many years of experience does Robert Pfeifer have?
Robert Pfeifer has 19 years in the financial industry, since August 2007, across 3 adviser firms.
What exams has Robert Pfeifer passed?
Robert Pfeifer has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 53, Series 4 and Series 55. The earliest, the Series 7, was passed in October 1998.
Where did Robert Pfeifer work before Frost Investment Advisors?
Before Frost Investment Advisors, Robert Pfeifer was registered through Commerce Street Investment Advisor, LLC, January 2008 to August 2010; First Southwest Asset Management Inc, April 2006 to September 2006.
Where is Robert Pfeifer based?
Robert Pfeifer’s registered office is in San Antonio, TX.
Is Robert Pfeifer registered with FINRA?
No. Robert Pfeifer has no current broker registration.
How can I verify Robert Pfeifer’s record?
Search CRD 3124248 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Pfeifer’s full registration record.
Mace McCainPresident / Manager / Managing Director/CIO
Alan AdelmanSenior Research Analyst / Senior Fund Manager
Timothy AltreeManager / Managing Director /Product Development and Asset Allocation- Michael BensonManager
- Michael BensonTreasurer
Jeffery ElswickManaging Director / Director of Fixed Income / Senior Fund Manager / Co-CIO
Justin HopkinsNational Sales Manager
William LutzDirector of Equities / Senior Fund Manager / Senior Research Analyst- Coolidge RhodesManager
- Carol SeverynManager
- Kenneth WilsonManager