DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
U.S. Global Investors, Inc.
Latest filing Feb 19, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Jun 16, 1968
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.3B
derived; firm RAUM over IAPD count
Employees
22
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.3B as of Feb 19, 2026
Sep 27, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 19, 2026
Sep 27, 20120 then
Employees (5.A)22 as of Feb 19, 2026
Sep 24, 201365 then
Private funds: no history
RAUM -15% over the last fiscal year-32% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $120MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 22.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.3B98%
- Pooled investment vehicles$20.3M1.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Frank Edward Holmes | San Antonio, Tx | Jul 14, 1999 | n/a | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Monica Blanco · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- Christine Lisa Callicotte · Chief Financial Officercontrolsince 07/2013 · owns less than 5%
- Edward Frank Holmes · Director, Chief Executive Officer, Chief Investment Officercontrolsince 10/1989 · owns 75% or more
- Francis Thomas Lydon · Directorcontrolsince 06/1997 · owns less than 5%
- Howard Jerold Rubinstein · Director, Chairman Of The Boardcontrolsince 10/1989 · owns less than 5%
- David Roy Terracina · Directorcontrolsince 12/1994 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list U.S. Global Investors, Inc. as a related person
- 108854 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 11Sep 25, 2024 to Sep 18, 2025
- Advisory employees · 6 to 7Sep 25, 2024 to Sep 18, 2025
- Pooled vehicle clients · unset to 1.0Sep 25, 2024 to Sep 18, 2025
- Employees · 24 to 22Sep 25, 2024 to Sep 18, 2025
- Financial planning clients · 0 to 0Sep 25, 2024 to Sep 18, 2025
- State-registered IARs · 0 to 1Sep 25, 2024 to Sep 18, 2025
- Discretionary RAUM · $1.6B to $1.3BSep 25, 2024 to Sep 18, 2025
- Pooled vehicle RAUM · unset to 20257574.0Sep 25, 2024 to Sep 18, 2025
- RAUM · $1.6B to $1.3BSep 25, 2024 to Sep 18, 2025
- Accounts · 12 to 9Sep 30, 2023 to Sep 25, 2024
- Discretionary RAUM · $2.4B to $1.6BSep 30, 2023 to Sep 25, 2024
- RAUM · $2.4B to $1.6BSep 30, 2023 to Sep 25, 2024
- Accounts · 11 to 12Sep 13, 2022 to Sep 30, 2023
- Advisory employees · 5 to 6Sep 13, 2022 to Sep 30, 2023
- Employees · 20 to 24Sep 13, 2022 to Sep 30, 2023
- Discretionary RAUM · $4.2B to $2.4BSep 13, 2022 to Sep 30, 2023
- RAUM · $4.2B to $2.4BSep 13, 2022 to Sep 30, 2023
- Accounts · 10 to 11Sep 21, 2021 to Sep 13, 2022
- BD registered reps · 1 to 0Sep 21, 2021 to Sep 13, 2022
- Accounts · 3 to 10Mar 18, 2021 to Sep 21, 2021
- Discretionary RAUM · $1.7B to $4.2BMar 18, 2021 to Sep 21, 2021
- RAUM · $1.7B to $4.2BMar 18, 2021 to Sep 21, 2021
- Accounts · 11 to 3May 21, 2020 to Oct 1, 2020
- Advisory employees · 7 to 5May 21, 2020 to Oct 1, 2020
- Employees · 23 to 20May 21, 2020 to Oct 1, 2020
- Discretionary RAUM · $512M to $1.7BMay 21, 2020 to Oct 1, 2020
- RAUM · $512M to $1.7BMay 21, 2020 to Oct 1, 2020
- Accounts · 12 to 11Aug 15, 2019 to Sep 19, 2019
- Employees · 24 to 23Aug 15, 2019 to Sep 19, 2019
- Discretionary RAUM · $484M to $512MAug 15, 2019 to Sep 19, 2019
- RAUM · $484M to $512MAug 15, 2019 to Sep 19, 2019
- Employees · 21 to 24May 20, 2019 to Aug 15, 2019
- Employees · 25 to 21Sep 26, 2018 to May 20, 2019
- Financial planning clients · unset to 0Sep 26, 2018 to May 20, 2019
- Discretionary RAUM · $604M to $484MSep 26, 2018 to May 20, 2019
- RAUM · $604M to $484MSep 26, 2018 to May 20, 2019
- Accounts · 13 to 12Sep 19, 2017 to Sep 26, 2018
- Advisory activities · 2 to 1Sep 19, 2017 to Sep 26, 2018
- Other offices · unset to 0.0Sep 19, 2017 to Sep 26, 2018
- Discretionary RAUM · $712M to $604MSep 19, 2017 to Sep 26, 2018
Signals
6 dated events
- U.S. Global Investors, Inc. reported RAUM $1.6B, down 34% from $2.4B (2023-09-30 to 2024-09-25)Sep 25, 2024 · RAUM change · derived
- U.S. Global Investors, Inc. reported RAUM $2.4B, down 44% from $4.2B (2022-09-13 to 2023-09-30)Sep 30, 2023 · RAUM change · derived
- U.S. Global Investors, Inc. reported RAUM $4.2B, up 147% from $1.7B (2021-03-18 to 2021-09-21)Sep 21, 2021 · RAUM change · derived
- U.S. Global Investors, Inc. reported RAUM $1.7B, up 234% from $512.4M (2020-05-21 to 2020-10-01)Oct 1, 2020 · RAUM change · derived
- Monica Blanco (Chief Compliance Officer) appeared on Schedule A of U.S. Global Investors, Inc.Oct 15, 2019 · Control person joined · fact
- Michael Joseph O'Donnell (Chief Compliance Officer) no longer on Schedule A of U.S. Global Investors, Inc. (listed 2018-09-26, absent 2019-05-20)May 20, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/u-s-global-investorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- USFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 210-308-1234reportedpublic record, Form ADV, Feb 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026