Celtic Capital Corporation
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,677,870
Clients
31
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
31
TypicalAverage account size
$215,415
About
Celtic Capital Corporation provides personal financial planning and investment management to individuals, families, trusts, estates and family businesses, managing approximately $6.7 million in discretionary assets for about 31 clients. Services described in the brochure include comprehensive financial planning, implementation and ongoing monitoring, as well as time-limited “Financial Snapshot” plans and special project engagements billed hourly.
The firm’s investment approach emphasizes strategic asset allocation and fundamental security analysis, using a mix of passively managed index and exchange-traded funds as well as actively managed funds, dividend-paying stocks and fixed income (treasury, corporate and municipal bonds), with portfolios generally diversified globally up to about 30%. Investment management is offered as part of an ongoing financial planning relationship rather than as a stand-alone service, with fees charged as a percentage of assets under management or hourly for planning work.
What is noteworthy about the firm is the principal’s dual role as a Certified Financial Planner and an attorney: the advisor’s legal background and an affiliation with Patrick Grace Co. LLC inform tax, estate and succession planning and the firm’s occasional provision of legal, arbitration and mediation services. The brochure also emphasizes a fee-only model with no commission-based product sales or referral fees and notes operational practices such as custody via Charles Schwab and potential technical “custody” reporting when an employee serves as trustee.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Tax strategies for small businesses
Cash flow / budgeting
Occupation focus
Self-Employed
Fee options
1.00% annually
Hourly fees range between $150 and $250 per hour for financial planning and special projects
Fee-only: Hourly fees between $150 and $250 per hour for financial planning and special projects
Main office location
Celtic Capital Corporation
Houston TX, United States
Number of offices
1
Most active in
Celtic Capital Corporation has reported serving >5 clients in these states in the last 12 months.
Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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