Advisor at Ristau Capital, LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Ristau Capital, LLC
Location
Frisco, TX
Credentials
Series 63, Series 66
Industry experience
24 years
Phillip Ristau is the principal of Ristau Capital, LLC, an independent advisory firm based in Frisco, TX. He holds Series 63 and Series 66 licenses and has 24 years of industry experience, including prior roles at Bank of America, Merrill Lynch, Fidelity Investments, and TIAA. Outside of his advisory work, he is employed part-time as a rural mail carrier. Ristau Capital provides investment management through separately managed accounts primarily for high-net-worth individuals. The firm employs a fundamental analysis-driven approach focused on concentrated equity strategies, including value-oriented, event-driven, and activist investments, and offers both discretionary and non-discretionary services.
$0 - $100,000: 1.95% annually $100,000+: 1.5% annually until 5th anniversary $0+: 1.5% annually until 5th anniversary if assets exceed $100,000 $0+: 1.0% annually thereafter if assets exceed $100,000 $0+: 1.5% annually thereafter if assets below $100,000
20% of net new trading profits prior to 5th anniversary; 16% thereafter; no annual management fee for qualified clients
Account minimum: $100,000 for qualified clients and $25,000 for non-qualified clients; minimums are negotiable
Frisco, TX
Texas
Bank of America
2022 - 2023 (1 year)
Bank Ozk
2021 - 2022 (1 year)
Tata Consulting
2021 - 2021 (1 year)
Ristau Capital, LLC
2020 - Present (6 years)
Merrill
2017 - 2020 (3 years)
Bank of America, N.A.
2017 - 2020 (3 years)
TIAA-CREF
2016 - 2017 (1 year)
Tiaa
2016 - 2017 (1 year)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Verified by Warmer
Series 63, Series 66
Frisco, TX
Cetera
Series 63, Series 65, Series 66
Frisco, TX
Two Pillars Asset Management
ChFC®
Richardson, TX
3:23 Financial Services LLC
Series 65
Corinth, TX
Tooth & Coin Wealth
Series 63, Series 65
Plano, TX
Gadiraju, Raju
Series 63
Addison, TX
Prudent Money Financial Services
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")