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Third Coast Securities LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,435,000
Clients
23
17% 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
23
TypicalAverage account size
$236,304
About
Third Coast Securities is a fee‑only registered investment adviser that provides ongoing portfolio management to individuals (including high‑net‑worth clients), trusts, estates, small businesses, charitable organizations and municipalities. Its Form ADV reports about $5.435 million in assets under management across 37 discretionary and non‑discretionary accounts serving roughly two dozen clients.
The firm describes a personalized approach that uses fundamental analysis to build diversified portfolios aligned with each client’s stated goals, risk tolerance and time horizon, with underlying holdings monitored frequently and formal portfolio reviews at least quarterly. Services are delivered largely on a non‑discretionary or limited‑discretionary basis, which the brochure emphasizes by requiring client participation in forming investment plans and approving implementation.
Distinctive disclosures in the ADV include a 2019 criminal charge that the brochure reports was later dismissed and a recent material change noting the firm’s principal is no longer insurance licensed, with a statement that no commissions were accepted when licensed. Compared with many single‑advisor independents, the firm’s documentation highlights a primarily non‑discretionary asset orientation and an explicit expectation that clients remain actively involved in investment decisions.
Client services
Portfolio management
Fee options
$0 - $500,000: 2% $500,001 - $1,000,000: 1.75% $1,000,001 - $2,000,000: 1.50% $2,000,001+: 1.25%
Fee-only: Investment management fees based on percentage of assets under management as listed in fee tiers; no commissions accepted.
Main office location
Third Coast Securities LLC
12935 S West Bay Shore Dr, Suite 145
Traverse City MI 49684, United States
Number of offices
1
Most active in
Third Coast Securities LLC has reported serving >5 clients in these states in the last 12 months.
Michigan
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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