Knight Nguyen Investments (Katy)

Name: Knight Nguyen Investments
Address: 23603 W Fernhurst, Katy, TX, 77494
Telephone: 888-894-3878

Knight Nguyen Investments is an adviser based in Katy. It manages $27.09 million of regulatory assets for 43 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Florida and Texas.

Knight Nguyen Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Knight Nguyen Investments: assets under management

The assets under management (AUM) of Knight Nguyen Investments is $27.09 million. The firm's AUM has gone down by -82% since the beginning of its operation, and $427.14 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $17.08 million in discretionary accounts and $10.01 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $588.91 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $714.84 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 58% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 21% of the firm’s portfolio. Investments in cash and cash equivalents form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Knight Nguyen Investments for their services and products based on a percentage of assets under management, hourly charges, 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 Knight Nguyen Investments serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Knight Nguyen Investments is corporations or other businesses with 7 clients and $19.32 million of assets under management. Among the 1 most similar advisory firms, Knight Nguyen Investments has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $27.04 million for 41 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Knight Nguyen Investments doesn't advise any private funds.

Careers at Knight Nguyen Investments

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 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.

Christopher Knight Lopez has served as the Chief Investment Officer since 1 Apr 2015. Forrest A Jones joined the executive team most recently as the Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher Knight Lopez	Partner/chief compliance officer/chief investment officer	1 Apr 2015	50% - 75%	6475110
Dung Thanh Nguyen	Partner	1 Mar 2016	Other	4934343
Forrest A Jones	Partner	1 Feb 2017	25% - 50%	4880765

Based in Katy

The principal office where Knight Nguyen Investments performs its advisory services is located at 23603 W Fernhurst, Katy, TX 77494, which is also the mailing address of the firm. An additional office of the firm is in Orlando, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 888-894-3878 or by fax 832-404-6135. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at knightinvestments.org.