Investment Professionals, Inc. (San Antonio)

Name: Investment Professionals, Inc.
Address: 16414 San Pedro Avenue, San Antonio, TX, 78232
Telephone: 210-308-8800

Investment Professionals, Inc. is a large advisory firm based in San Antonio. It manages $760.85 million of regulatory assets for 4,708 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Investment Professionals provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Investment Professionals: assets under management

The assets under management (AUM) of Investment Professionals, Inc. is $760.85 million. The firm's AUM has grown by 20% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in investment and business development companies the most. They account for 52% of the total AUM. The second-largest asset type is exchange traded securities, which make up 37% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Investment Professionals, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Charles Neal Maglaque serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Charles Neal Maglaque is individuals with 3,645 clients and $521.93 million of assets under management. Among the 9 most similar advisory firms, Investment Professionals has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $600.24 million for 3,982 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Investment Professionals doesn't advise any private funds.

Careers at Investment Professionals, Inc.

The company employs 178 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 178 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Charles Neal Maglaque has been acting as President since 1 Nov 2017. Mary Ellen Storey joined the executive team most recently as the Co Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott Allen Barnes	Pres/ceo	1 Mar 1992	Other	1336180
Betsy Bratton Perryman	Direct owner	1 May 1995	Other	xxx-xx-xxxx
Charles Francis Jr Watson	Svp- director	1 May 1997	Other	718430
Betsy Bratton Perryman	Svp- insurance	1 Apr 1999	Other	1338591
Jay Lance Mcanelly	Svp- business development	1 Jun 2004	Other	2677791
Debbee J Pundt	Svp- internal affairs	1 Jun 2004	Other	3121857
Linde Allen Schenken	Finop	1 Nov 2004	Other	4049529
Matthew Thomas Marcom	Vp- national sales manager/srop	1 Dec 2004	Other	3126765
Ihc	Holding company	1 Dec 2005	75% - 100%	20-3724895
Lewis Wade Ii Partridge	Regional director/crop	1 Dec 2005	Other	2533907
Alana Sue Sanderson	Chief compliance officer	1 Jan 2007	Other	2654650
Joel Brian Colpitts	Finop	1 Jun 2007	Other	2376942
Matthew Thomas Marcom	Vp- finop	1 Jan 2008	Other	3126765
Jay Lance Mcanelly	Evp- director of national sales	1 Mar 2008	Other	2677791
Harry S Truman	Crop	1 Jun 2008	Other	2587785
Christopher Harold Tovar	Chief compliance officer	1 Jul 2008	Other	xxx-xx-xxxx
Robert William Thompson	Srop	1 Aug 2008	Other	3074594
Richard Rolle Dullnig	Finop	1 Dec 2008	Other	2215594
William Wallace Iii Edwards	Rosfp	1 Sep 2009	Other	2479629
Richard Rolle Dullnig	Chief compliance officer	1 Sep 2009	Other	2215594
Christine Margaret Walters	Finop	1 Sep 2009	Other	5544926
Scott Allen Barnes	Chairman of the board	1 Aug 2010	Other	1336180
Jay Lance Mcanelly	Pres/ceo	1 Aug 2010	Other	2677791
Debbee J Pundt	Chief of staff - partner	1 Aug 2012	Other	3121857
Stephen Fletcher Mixon	Rosfp	1 Sep 2014	Other	1620967
Mary Ellen Storey	Chief compliance officer	1 Mar 2015	Other	4808171
Richard Rolle Dullnig	Registered options principal	1 Mar 2016	Other	2215594
Brian Keith Surovik	Chief compliance officer	1 Apr 2016	Other	4481124
Ampf Holding Corporation	Shareholder	1 Jul 2017	75% - 100%	38-2722519
Charles Neal Maglaque	Director	1 Nov 2017	Other	5026063
Patrick Hugh O'connell	Director	1 Nov 2017	Other	2246285
Mary Ellen Storey	Co-cco	1 Jan 2018	Other	4808171

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Scott Allen Barnes	Owner	1 Dec 2005	75% - 100%	1336180
Inc. Ameriprise Financial	100% owner of parent company	1 Jul 2017	75% - 100%	13-3180631

Based in San Antonio

The principal office where Investment Professionals, Inc. performs its advisory services is located at 16414 San Pedro Avenue, San Antonio, TX 78232, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 210-308-8800 or by fax 866-623-7299. The normal business hours are 8:00 - 5:00 cst on Monday - Friday. You can find more information about the New York firm at invpro.com.