Hourglass Capital, LLC (Houston)


Hourglass Capital, LLC is a large advisory firm based in Houston. It manages $437.99 million of regulatory assets for 366 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of Texas.

Hourglass Capital provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Hourglass Capital: assets under management

The assets under management (AUM) of Hourglass Capital, LLC is $437.99 million. The firm's AUM has grown by 71% since the beginning of its operation, and $122.53 million of the total AUM is attributable to clients outside of the United States.

The firm manages $406.72 million in discretionary accounts and $31.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.25 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $781.85 thousand.
Hourglass Capital has custody of $165.58 million in cash and securities for 53 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 9% of the firm’s portfolio. Investments in non-investment grade corporate bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hourglass Capital, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Hourglass Capital serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Hourglass Capital is high net worth individuals with 68 clients and $306.8 million of assets under management. Among the 7 most similar advisory firms, Hourglass Capital has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $318.82 million for 97 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 4% of the firm’s clients are foreign persons or businesses.

Hourglass Capital doesn't advise any private funds.

Careers at Hourglass Capital, LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No 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 don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kenneth Archer Moffet Member/board of managers 1 Jun 2008 25% - 50% 1508178
John Harris Moffet Member/board of managers 1 Jun 2008 Other 2259293
Andrew Thomas Anton Member/board of managers 1 Jun 2008 Other 4702514
Debra Linn Gardner Member/chief compliance officer 1 Jun 2008 Other 4338012
Jordan Cayce Waldrep Vice president 1 Jun 2008 Other 4026703
Thomas W Hook Member 1 Aug 2008 Other 5588212
Crane Hedge Fund Ltd. Member 1 Aug 2008 Other 26-1140266
Ambrosio Ltd. Co. Member 1 Sep 2008 Other 98-0592150

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Crane Capital Holdings Ltd Owner 1 Aug 2008 75% - 100% 77-0698934
James R Crane Owner 1 Aug 2008 75% - 100% 6043133
S. De R.L. De C.V. Siena Capital Member 1 Sep 2008 75% - 100% 00-0000000
Consuelo Canales Valdes Owner 1 Sep 2008 50% - 75% 6044359
Jose Agustin Valdes Owner 1 Sep 2008 50% - 75% 6044362

Based in Houston

The principal office where Hourglass Capital, LLC performs its advisory services is located at 4409 Montrose Blvd, Houston, TX 77006, 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 713-936-0440 or by fax 713-936-0441. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at hourglasscapital.com.