Dark Horse LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$1,300,000
Total clients
5
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
5
Average account size
$260,000
About
The firm is an independent, fee-only registered investment adviser operating as a single-advisor practice that serves individual and high‑net‑worth clients with discretionary investment management and tailored financial consulting. It provides ongoing portfolio construction and supervision as well as time-limited consulting engagements.
The advisor’s investment process is primarily long‑term focused but blends fundamental and technical analysis to build diversified portfolios, mainly using exchange‑listed equities, ETFs and mutual funds, while at times including OTC securities, individual fixed‑income and, occasionally, fee‑based no‑load variable annuities. Accounts are managed on a discretionary basis with periodic rebalancing and client‑directed investment restrictions available.
What is distinctive about the firm is its very small scale—managing roughly $1.3 million for five clients—which is atypical for independent RIAs and indicates a highly individualized practice model; the firm also offers hourly and fixed‑fee consulting options. The sole advisor holds an advanced finance degree, maintains an institutional custody relationship that provides third‑party technology and support, and operates under a written Code of Ethics addressing personal trading and conflicts.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Wealth management
Fee options
Fixed fees for consulting engagements based on estimated time and effort; estimates provided prior to engagement
0.30% to 2.00% annually (based on size and complexity, negotiable)
$200 per hour, negotiable depending on client circumstances
Account minimum: $100,000 Fee-only: Investment advisory fees based solely on fees paid by clients; no commissions received.
Main office location
Dark Horse LLC
Katy TX, United States
Number of offices
1
Most active in
Dark Horse LLC 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 not active or affiliated with:
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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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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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