Gerald L. Ray & Associates, Ltd. (Dallas)

Name: Gerald L. Ray & Associates, Ltd.
Address: 1445 Ross Avenue, Suite 5600, Dallas, TX, 75202
Telephone: 214-954-1900

Gerald L. Ray & Associates, Ltd. is a large advisory firm based in Dallas. It manages $830.73 million of regulatory assets for 680 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, Louisiana, and 7 other states.

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

Gerald L. Ray & Associates: assets under management

The assets under management (AUM) of Gerald L. Ray & Associates, Ltd. is $830.73 million. The firm's AUM has grown by 5% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $808.59 million in discretionary accounts and $22.15 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.21 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.85 million.

Gerald L. Ray & Associates has custody of $9.21 million in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gerald L. Ray & Associates, Ltd. for their services and products based on a percentage of assets under management and fixed 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.

Careers at Gerald L. Ray & Associates, Ltd.

Gerald Louis Ray has been acting as President since 1 Sep 1977. Jhr 2012 Gst Trust joined the executive team most recently as the 40% Limited Partnership Interest In Gerald L Ray & Assoc., Ltd.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Thomas Gideon	Vice president	1 Sep 1977	Other	4412146
Gerald Louis Ray	President	1 Sep 1977	75% - 100%	2099338
Rose M Pasillas	Vice president	1 Jul 1989	Other	4412096
Charles Thomas Gideon	Vice president	1 Sep 1989	Other	4412146
Joseph Howard Ray	Vice president	1 Nov 1989	Other	2694358
Vicki Lynn Whittington	Operations manager	1 Feb 1994	Other	4412149
Llc Gerald L Ray & Associates I	General partner gerald l ray & assoc., ltd	1 Jun 2001	Other	75-2944699
Michael Roth Beck	Investment advisor representative	1 Jun 2001	Other	1278243
Llc. Gerald L Ray & Associates I	General partner gerald l ray & assoc., ltd	1 Jun 2001	Other	75-2944699
Marcia K Talbott	Bookkeeping manager	1 Nov 2001	Other	4780948
Michael Roth Beck	Vice president	1 Sep 2003	Other	1278243
Gerald Louis Ray	Chairman of board, limited partner of gerald l ray & assoc., ltd	1 Mar 2004	25% - 50%	2099338
Joseph Howard Ray	President (since 3/2004) and trustee of jhr 2012 gst trust (since 12/2012)	1 Mar 2004	25% - 50%	2694358
Rose M Pasillas	Senior vice president	1 Mar 2004	Other	4412096
Michael Roth Beck	Senior vice president	1 Mar 2004	Other	1278243
Marcia K Talbott	Bookkeeper	1 Nov 2008	Other	4780948
Michael Harry Kane	Executive vice president	1 Feb 2009	Other	2209273
Leo Fields	Executive vice president	1 Feb 2009	Other	2307726
Lynette Kay Heil	Accountant	1 Jul 2010	Other	5833481
Michael Roth Beck	Executive vice president	1 Jan 2011	Other	1278243
Lynette Kay Heil	Chief compliance officer/chief financial officer	1 Apr 2011	Other	5833481
Jhr 2012 Gst Trust	40% limited partnership interest in gerald l ray & assoc., ltd	1 Dec 2012	25% - 50%	46-6420755
Jrf 2012 Gst Trust	10% limited partnership interest in gerald l ray & assoc., ltd	1 Dec 2012	Other	46-6417093
Julie Ray Fields	Trustee of jrf 2012 gst trust	1 Dec 2012	Other	6172163

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Gerald Louis Ray	Managing member	1 Jun 2001	75% - 100%	2099338
Llc. Gerald L. Ray & Associates I	General partner	1 Jun 2001	Other	75-2944699
Joseph Howard Ray	Trustee	1 Dec 2012	Other	2694358

Based in Dallas

The principal office where Gerald L. Ray & Associates, Ltd. performs its advisory services is located at 1445 Ross Avenue, Suite 5600, Dallas, TX 75202, 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 214-954-1900 or by fax 214-954-1274. The normal business hours are 7:30 a.m.- 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at geraldray.com.