D
DBA/Rankin Capital Investment Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$26,902,591
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
6
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
6
Average account size
$4,483,765
About
The firm provides personalized investment management and financial consultation to individuals, individual retirement accounts, trusts, estates, family limited partnerships, LLCs and family offices. The brochure indicates it manages roughly $26.9 million in discretionary assets for a small number of clients (approximately a dozen clients across multiple accounts), concentrating on ongoing portfolio management rather than commission-based product sales.
The firm operates on a fully discretionary, fee-only basis, documenting client goals in a client profile and an investment policy statement and monitoring portfolios continuously with at least annual formal reviews. Investment strategies include mutual funds, ETFs, equities, fixed income and alternative investments and draw on fundamental, technical and cyclical analysis, while custodians retain asset custody and performance reports are provided to clients on request.
Noteworthy distinctions include that the sole owner also operates a separate private investment and consulting business that may occupy up to 25% of his time and may participate in private investments or receive finder's fees, an arrangement disclosed in the brochure. The firm also discloses that the owner may purchase the same widely traded securities for personal or family accounts without a formal personal-trading reporting program common at larger firms, and that it does not vote client proxies (clients are expected to vote their own proxies).
Client services
Portfolio management
Family limited partnerships
Expertise
Active portfolio management
Options & derivatives strategies
Wealth management
Fee options
1% of Assets under Management payable quarterly in arrears
Account minimum: $100,000 Minimum fee: Minimum annual fee is negotiable and may be waived or adjusted Fee-only: Fee-only investment management; no commissions accepted
Main office location
DBA/Rankin Capital Investment Management
Shreveport LA, United States
Number of offices
1
Most active in
DBA/Rankin Capital Investment Management has reported serving >5 clients in these states in the last 12 months.
Louisiana
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:
-
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.
-
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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