DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

USCA RIA LLC

CRD 152170

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:453775e9-2546-63d0-c671-b6526b7b8699

Data as of May 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 89
Dated events: 5
On other graphs: 2
Observed: Mar 5, 2012 to May 25, 2021
52 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Usca Ria LLC

Intermediary · shared crd

Allocatorsidentity

Usca Ria LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.1BItem 5.F on the latest filing (2021-05-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.6B
Private client RAUM: $3.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 72
Advisory employees: 51
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 6,967
Individual clients: 1,462
High net worth clients: 969
Custody, client assets: $655M
SEC number: 801-72105
CRD: 152170
Filings on the tape: 52
First filed: Mar 5, 2012
Latest filed: May 25, 2021
Organised: Limited Liability Company, Texas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARNOLD, CHRISTOPHER, ROBERT	CHIEF FINANCIAL OFFICER	Na	yes	12/2017	Mar 28, 2018	May 25, 2021
GOTT, STEVE, HOWELL	CHIEF COMPLIANCE OFFICER	Na	yes	05/2021	Jan 23, 2014	May 25, 2021
KING, DAVID, MICHAEL	MANAGING PARTNER	Na	yes	01/2011	Apr 1, 2013	May 25, 2021
MENDENHALL, PATRICK, MICHAEL	MANAGING PARTNER	Na	yes	07/2010	Mar 5, 2012	May 25, 2021
U.S. CAPITAL ADVISORS LLC	Owner	E	yes	07/2010	Mar 5, 2012	May 25, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
USCA ASSET MANAGEMENT LLC	n/a	Asset manager	$132M	N	yes	n/a
USCA BADGER MIDSTREAM MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
USCA BPCAP GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA CR FUND II GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA FIFTH CORNER PROPERTY FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA INSURANCE AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
USCA INVESTMENT HOLDINGS LLC	n/a	n/a	n/a	N	yes	n/a
USCA LL&B CO-INVESTMENT GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA LL&B CO-INVESTMENT II GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA MUNICIPAL ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
USCA REAL ESTATE VENTURES GP I LLC	n/a	n/a	n/a	N	yes	n/a
USCA RESOURCE MINERALS CO-INVESTMENT I GP	n/a	n/a	n/a	N	yes	n/a
USCA SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
USCA SEVGEN GP LLC	n/a	n/a	n/a	N	yes	n/a
USCA TAILWATER MIDSTREAM GP LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	9	yes
Dallas	TX	United States	8	yes
Houston	TX	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021	$4.1B	$2.6B	72	51	3	n/a	n/a
2019	Mar 31, 2020	$2.8B	$1.7B	76	55	3	n/a	n/a
2018	Mar 28, 2019	$3.0B	$1.7B	73	51	3	n/a	n/a
2017	Mar 28, 2018	$2.6B	$1.2B	69	48	3	n/a	n/a
2016	Mar 31, 2017	$2.2B	$1.1B	68	49	n/a	n/a	n/a
2015	Mar 30, 2016	$1.8B	$920M	120	66	n/a	n/a	n/a
2014	Mar 30, 2015	$1.6B	$745M	104	64	n/a	n/a	n/a
2013	Mar 31, 2014	$951M	$562M	71	42	n/a	n/a	n/a
2012	Apr 1, 2013	$795M	$459M	55	35	n/a	n/a	n/a
2011	Mar 5, 2012	$645M	$326M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$4.1B	$2.8B	49.0%	$2.6B	16.9%	72	76	3	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
USCA ASSET MANAGEMENT LLC	7	Jun 30, 2021	Jul 9, 2018	HOUSTON, TX	Team lift out	Other	10.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	4	Mar 8, 2016	Mar 4, 2016	DALLAS, TX	Team lift out	Other	0.0%
WELLS FARGO ADVISORS	4	Feb 16, 2016	Feb 12, 2016	DALLAS, TX	Team lift out	Other	0.0%
UBS FINANCIAL SERVICES INC.	4	Jul 6, 2015	Jun 24, 2015	HOUSTON, TX	Team lift out	Other	0.1%

Relationships

showing 80 of 89

Affiliated with (1)

→ USCA ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← MENDENHALL, PATRICK, MICHAELOwnerMANAGING PARTNER, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← GOTT, STEVE, HOWELLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2014 to presentfactForm ADV
← KING, DAVID, MICHAELOwnerMANAGING PARTNER, ownership code NA, individual
Apr 1, 2013 to presentfactForm ADV
← ARNOLD, CHRISTOPHER, ROBERTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← U.S. CAPITAL ADVISORS LLCOwnerOWNER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV

Registered with (72)

← PATRICK MICHAEL MENDENHALLAdvisorregistration: previous registration
Jan 6, 2010 to Jun 30, 2021factForm ADV
← KAREE HOFFMAN SAMPSONAdvisorregistration: previous registration
Feb 12, 2016 to Jun 30, 2021factForm ADV
← JOHN AUSTIN HOWLEAdvisorregistration: previous registration
Aug 28, 2014 to Jun 30, 2021factForm ADV
← CHARLES TRASK DIXAdvisorregistration: previous registration
Mar 4, 2016 to Jun 30, 2021factForm ADV
← PATRICIA SUE TRIEGLAFFAdvisorregistration: previous registration
Mar 26, 2012 to Jun 30, 2021factForm ADV
← GAYLE ANN TERRYAdvisorregistration: previous registration
Nov 10, 2017 to Jun 30, 2021factForm ADV
← ANN ESTELLE DEATONAdvisorregistration: previous registration
Dec 2, 2010 to Jun 30, 2021factForm ADV
← DAVID MICHAEL HARRISAdvisorregistration: previous registration
Jan 3, 2011 to Jun 30, 2021factForm ADV
← CLIFFORD RAY MCTEEAdvisorregistration: previous registration
Jun 8, 2012 to Jun 30, 2021factForm ADV
← AMANDA TONAdvisorregistration: previous registration
May 23, 2014 to Jun 30, 2021factForm ADV
← STEVE HOWELL GOTTAdvisorregistration: previous registration
May 1, 2012 to Jun 30, 2021factForm ADV
← IDANIA DANIELLE REYESAdvisorregistration: previous registration
Jun 24, 2015 to Jun 30, 2021factForm ADV
← MORRIS SCOTT GOTTESMANAdvisorregistration: previous registration
Dec 16, 2014 to Jun 30, 2021factForm ADV
← TIMOTHY VAUGHN MYERSAdvisorregistration: previous registration
Aug 16, 2013 to Jun 30, 2021factForm ADV
← GREGORY TODD LAVERGNEAdvisorregistration: previous registration
May 27, 2014 to Jun 30, 2021factForm ADV
← BRADLEY ROBERT MILLERAdvisorregistration: previous registration
Jan 28, 2019 to Jun 30, 2021factForm ADV
← DEBORAH ANN PALMERAdvisorregistration: previous registration
Jan 3, 2012 to Jun 30, 2021factForm ADV
← DAVID MICHAEL KINGAdvisorregistration: previous registration
Jan 13, 2011 to Jun 30, 2021factForm ADV
← RANDALL SHAWN JONESAdvisorregistration: previous registration
Jun 24, 2015 to Jun 30, 2021factForm ADV
← ROBIN CHRISTY AUSTINAdvisorregistration: previous registration
Feb 12, 2016 to Jun 30, 2021factForm ADV
← MATTHEW BROOKE WESTAdvisorregistration: previous registration
Oct 8, 2010 to Jun 30, 2021factForm ADV
← KIMBERLY RIPOLLAdvisorregistration: previous registration
May 15, 2019 to Jun 30, 2021factForm ADV
← DEBRA SCHAPER PARANTAdvisorregistration: previous registration
Mar 31, 2014 to Jun 30, 2021factForm ADV
← COURTNEY S WATSONAdvisorregistration: previous registration
Feb 12, 2016 to Jun 30, 2021factForm ADV
← SCOTT MICHAEL SELZERAdvisorregistration: previous registration
Oct 8, 2010 to Jun 30, 2021factForm ADV
← EDWARD RANDALLAdvisorregistration: previous registration
Nov 25, 2010 to Jun 30, 2021factForm ADV
← CHRISTIAN CHANCE BAUMANAdvisorregistration: previous registration
Oct 25, 2010 to Jun 30, 2021factForm ADV
← GEORGE WILSON HOWEAdvisorregistration: previous registration
Apr 29, 2013 to Jun 30, 2021factForm ADV
← DAVIS KELLY RUSHINGAdvisorregistration: previous registration
Jun 24, 2015 to Jun 30, 2021factForm ADV
← ROBERT DAVID BOURLANDAdvisorregistration: previous registration
Oct 26, 2015 to Jun 30, 2021factForm ADV
and 42 more

Moved with (1)

→ USCA ASSET MANAGEMENT LLCRegistered adviser7 advisors, team lift out, same day
Jun 30, 2021 to Jul 9, 2018factForm ADV

Dated events

Occurred
May 25, 2021
Control person left
Courtney Elizabeth Bowling (Chief Compliance Officer) no longer on Schedule A of Usca Ria Llc (listed 2021-03-31, absent 2021-05-25)
Form ADVobserved 6 days ago
Occurred
May 25, 2021
Control person joined
Howell Steve Gott (Chief Compliance Officer) appeared on Schedule A of Usca Ria Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Usca Ria Llc reported RAUM $4.1B, up 49% from $2.8B (2020-09-16 to 2021-03-31)
Form ADVobserved 6 days ago
$1.4B
Occurred
Jun 13, 2019
Control person left
Howell Steve Gott (Chief Compliance Officer) no longer on Schedule A of Usca Ria Llc (listed 2019-04-10, absent 2019-06-13)
Form ADVobserved 6 days ago
Occurred
Jun 13, 2019
Control person joined
Courtney Elizabeth Bowling (Chief Compliance Officer) appeared on Schedule A of Usca Ria Llc
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:453775e9-2546-63d0-c671-b6526b7b8699
First observed: Mar 5, 2012
Last observed: May 25, 2021 64 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

USCA RIA LLC

CRD 152170

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:453775e9-2546-63d0-c671-b6526b7b8699

Data as of May 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARNOLD, CHRISTOPHER, ROBERT

CHIEF FINANCIAL OFFICER

yes

12/2017

Mar 28, 2018

May 25, 2021

GOTT, STEVE, HOWELL

CHIEF COMPLIANCE OFFICER

yes

05/2021

Jan 23, 2014

May 25, 2021

KING, DAVID, MICHAEL

MANAGING PARTNER

yes

01/2011

Apr 1, 2013

May 25, 2021

MENDENHALL, PATRICK, MICHAEL

MANAGING PARTNER

yes

07/2010

Mar 5, 2012

May 25, 2021

U.S. CAPITAL ADVISORS LLC

Owner

yes

07/2010

Mar 5, 2012

May 25, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

USCA ASSET MANAGEMENT LLC

n/a

Asset manager

$132M

yes

n/a

USCA BADGER MIDSTREAM MANAGEMENT LLC

n/a

yes

n/a

USCA BPCAP GP LLC

n/a

yes

n/a

USCA CR FUND II GP LLC

n/a

yes

n/a

USCA FIFTH CORNER PROPERTY FUND GP LLC

n/a

yes

n/a

USCA INSURANCE AGENCY LLC

n/a

yes

n/a

USCA INVESTMENT HOLDINGS LLC

n/a

yes

n/a

USCA LL&B CO-INVESTMENT GP LLC

n/a

yes

n/a

USCA LL&B CO-INVESTMENT II GP LLC

n/a

yes

n/a

USCA MUNICIPAL ADVISORS LLC

n/a

yes

n/a

USCA REAL ESTATE VENTURES GP I LLC

n/a

yes

n/a

USCA RESOURCE MINERALS CO-INVESTMENT I GP

n/a

yes

n/a

USCA SECURITIES LLC

n/a

yes

n/a

USCA SEVGEN GP LLC

n/a

yes

n/a

USCA TAILWATER MIDSTREAM GP LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Austin

United States

yes

Dallas

United States

yes

Houston

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$4.1B

$2.6B

n/a

2019

Mar 31, 2020

$2.8B

$1.7B

n/a

2018

Mar 28, 2019

$3.0B

$1.7B

n/a

2017

Mar 28, 2018

$2.6B

$1.2B

n/a

2016

Mar 31, 2017

$2.2B

$1.1B

n/a

2015

Mar 30, 2016

$1.8B

$920M

120

n/a

2014

Mar 30, 2015

$1.6B

$745M

104

n/a

2013

Mar 31, 2014

$951M

$562M

n/a

2012

Apr 1, 2013

$795M

$459M

n/a

2011

Mar 5, 2012

$645M

$326M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$4.1B

$2.8B

49.0%

$2.6B

16.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

USCA ASSET MANAGEMENT LLC

Jun 30, 2021

Jul 9, 2018

HOUSTON, TX

Team lift out

Other

10.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Mar 8, 2016

Mar 4, 2016

DALLAS, TX

Team lift out

Other

0.0%

WELLS FARGO ADVISORS

Feb 16, 2016

Feb 12, 2016

DALLAS, TX

Team lift out

Other

0.0%

UBS FINANCIAL SERVICES INC.

Jul 6, 2015

Jun 24, 2015

HOUSTON, TX

Team lift out

Other

0.1%