{"url":"https://nivawealth.com/firms/redfish-capital-management-323348","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/323348","regulatoryAum":119000000,"crd":"323348","secFileNumber":"801-137015","legalName":"Redfish Capital Management LLC","displayName":"Redfish Capital Management","slug":"redfish-capital-management-323348","website":"https://redfish-cap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"17302 House & Hahl Road Suite 215","city":"Cypress","state":"TX","stateName":"Texas","country":"United States","postalCode":"77433"},"tradeNames":[],"registration":{"secApproved":"6 August 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":562500,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":119000000,"discretionary":119000000,"discretionaryAccounts":170,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":120,"regulatoryAum":17800000},{"label":"High-net-worth individuals","clients":48,"regulatoryAum":76700000},{"label":"Charitable organizations","clients":2,"regulatoryAum":24500000}],"feePrograms":[{"role":"other","program":"ERISA Plan Services","summary":"Annual fee on plan assets that will not exceed 1%, negotiable and charged as a percentage of included assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050775","versionId":1050775,"submittedOn":"2026-07-06","documentName":"FORM ADV PART 2A & 2B SEC"},{"role":"other","program":"One-Time Financial Planning","summary":"Financial planning is a fixed fee of $250 to $5,000, or a negotiable hourly fee no greater than $500 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050775","versionId":1050775,"submittedOn":"2026-07-06","documentName":"FORM ADV PART 2A & 2B SEC"},{"role":"other","program":"Ongoing Financial Planning","summary":"Ongoing financial planning is a flat fee of up to $3,000 per month, billed monthly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050775","versionId":1050775,"submittedOn":"2026-07-06","documentName":"FORM ADV PART 2A & 2B SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:20:06.742424+00:00","documents":[{"name":"FORM ADV PART 2A & 2B SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050775","versionId":1050775,"submittedOn":"2026-07-06"}]},"custodians":[],"custodyNote":"Redfish Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[],"ownership":[],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"17302 House & Hahl Road Suite 215","city":"Cypress","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"281-256-3100","stateRegisteredReps":4,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":39},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":13},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":10},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":14,"detail":"Alternative Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"25 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/323348/PDF/323348.pdf","brochureDate":"6 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050775","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Redfish Capital Management have?","answer":"Redfish Capital Management has 170 clients and manages $119 million for them, as of August 2026. They include 120 individual clients, 48 high-net-worth individuals and 2 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Redfish Capital Management offer?","answer":"Redfish Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Redfish Capital Management have?","answer":"Redfish Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Redfish Capital Management invest in?","answer":"At the end of its last fiscal year, Redfish Capital Management’s separately managed accounts held 39% exchange-traded equities, 14% other, 13% U.S. government and agency bonds, 10% registered funds (mutual funds, ETFs, BDCs), 7% state and local bonds, 7% cash and equivalents, 5% non-exchange-traded equities and 5% investment grade corporate bonds. The 14% other category is described as: Alternative Investments.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How does Redfish Capital Management get paid?","answer":"Redfish Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Redfish Capital Management?","answer":"Redfish Capital Management’s main office is at 17302 House & Hahl Road Suite 215, Cypress, TX 77433. Its phone number is 281-256-3100. Its website is redfish-cap.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}