{"url":"https://nivawealth.com/firms/sarofim-trust-co-lta-106590","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106590","regulatoryAum":12959991253,"crd":"106590","secFileNumber":"801-13773","legalName":"Sarofim Trust Co., Lta","displayName":"Sarofim Trust Co., Lta","website":null,"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"845 Texas Avenue, Suite 2000","city":"Houston","state":"TX","stateName":"Texas","country":"United States","postalCode":"77002"},"tradeNames":[],"registration":{"secApproved":"13 April 1978","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":26,"advisory":22,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":12959991253,"discretionaryAccounts":96,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":86,"regulatoryAum":9323448497},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":179710833},{"label":"Charitable organizations","clients":8,"regulatoryAum":3387952769},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":68879154}],"fees":[],"feeNotes":[],"custodians":[{"name":"Goldman Sachs & Co. LLC","shortName":"Goldman Sachs &","location":"New York, NY","smaAssets":997731092},{"name":"J.P. Morgan Securities LLC","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":4574173943},{"name":"SEI Private Trust Co.","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":4730466888}],"custodyNote":"Sarofim Trust Co., Lta has custody of $9.46B for 47 clients.","otherCustodians":[],"leadership":[{"name":"William Hanna","title":"Director, Vice President, Secretary and Chief Compliance Officer","crd":"6317237"},{"name":"David Searls","title":"Director, President","crd":"4635863"},{"name":"Alexander Robison","title":"Chief Financial Officer","crd":"6187335"},{"name":"John Colucci","title":"Chief Operating Officer","crd":"1972789"},{"name":"Alan Christensen","title":"Director","crd":"5404108"},{"name":"Catherine Crain","title":"Director","crd":"1987390"},{"name":"Samuel Dick","title":"Director, Principal","crd":"4612694"},{"name":"Michele Gibbons","title":"General Counsel","crd":"7530043"},{"name":"JR. Lee","title":"Chief Investment Officer","crd":"4558092"},{"name":"Christopher Sarofim","title":"Chairman","crd":"2790832"}],"ownership":[{"label":"Fayez Sarofim & Co.","detail":"Shareholder in the 75% or more ownership band and a control person, since December 1977."},{"label":"The Sarofim Group, Inc.","detail":"Indirect owner: a shareholder of Fayez Sarofim & Co. in the 75% or more band and a control person, since December 1995.","parent":"Fayez Sarofim & Co."},{"label":"Sarofim Sgi Voting Trust","detail":"Indirect owner: a e of The Sarofim Group, Inc. in the 75% or more band and a control person, since May 2022.","parent":"The Sarofim Group, Inc."},{"label":"Christopher Sarofim","detail":"Indirect owner: a trustee of Sarofim Sgi Voting Trust in the 75% or more band and a control person, since May 2022.","parent":"Sarofim Sgi Voting Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"845 Texas Avenue, Suite 2000","city":"Houston","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"713-654-4484","stateRegisteredReps":18,"otherAdviserReps":18,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":94},{"label":"Investment grade corporate bonds","percent":1},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"12 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106590/PDF/106590.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sarofim Trust Co., Lta have?","answer":"Sarofim Trust Co., Lta has 96 clients and manages $13 billion for them, as of May 2026. They include 86 high-net-worth individuals, 8 charitable organizations and 1 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sarofim Trust Co., Lta offer?","answer":"Sarofim Trust Co., Lta provides portfolio management for individuals and small businesses, portfolio management for institutions and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sarofim Trust Co., Lta use?","answer":"Sarofim Trust Co., Lta’s separately managed account assets are held at SEI Private Trust Co. (Oaks, PA), with $4,730,466,888, J.P. Morgan Securities LLC (New York, NY), with $4,574,173,943 and Goldman Sachs & Co. LLC (New York, NY), with $997,731,092. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sarofim Trust Co., Lta have?","answer":"Sarofim Trust Co., Lta has 18 investment adviser representatives registered with state securities authorities, out of 26 employees, and 22 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Sarofim Trust Co., Lta invest in?","answer":"At the end of its last fiscal year, Sarofim Trust Co., Lta’s separately managed accounts held 94% exchange-traded equities, 5% cash and equivalents and 1% investment grade corporate bonds. It advises no private funds of its own.","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":"Who owns Sarofim Trust Co., Lta?","answer":"Sarofim Trust Co., Lta is owned through a chain of holding companies by Christopher Sarofim. Its direct owner is Fayez Sarofim & Co. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sarofim Trust Co., Lta get paid?","answer":"Sarofim Trust Co., Lta is paid through a percentage of assets under management. 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"}}],"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 Wealth 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."}