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PARATUS FINANCIAL, INC.
CRD 133361File 801-63703
APPROVED
Retail clients
Disclosure events
Filing as of Mar 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$757.4M
Above cohort median (national)
Discretionary AUM
$271.3M
Non-discretionary $486.2M
Clients
88
703 accounts
Employees
8
Above cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jan 3, 2005
- Principal office
- 5220 MCKINNEY AVE STE 200, DALLAS, TX, 75205
- Phone
- 214-378-7400
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $757.4M
- Discretionary AUM
- $271.3M
- Non-discretionary AUM
- $486.2M
- Discretionary accounts
- 358
- Non-discretionary accounts
- 345
- Total accounts
- 703
- AUM per client
- $8.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 68 | $730.1M |
| Pension and profit sharing plans | 1 | $3.5M |
| Individuals (other than high net worth individuals) | 19 | $23.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 7 | 8 | increased by1 |
| Apr 1, 2026 | Clients | 89 | 88 | decreased by1 |
| Apr 1, 2026 | AUM | $701,325,240 | $757,448,495 | increased by$56,123,255 |
| Apr 1, 2026 | Accounts | 674 | 703 | increased by29 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 7 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 104 | 89 | decreased by15 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $494,202,348 | $701,325,240 | increased by$207,122,892 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 423 | 674 | increased by251 |
| Apr 1, 2022 | Clients | 108 | 104 | decreased by4 |
| Apr 1, 2022 | AUM | $543,314,998 | $494,202,348 | decreased by$49,112,650 |
| Apr 1, 2022 | Accounts | 746 | 423 | decreased by323 |
| Dec 1, 2021 | Clients | 136 | 108 | decreased by28 |
| Dec 1, 2021 | AUM | $1,806,953,374 | $543,314,998 | decreased by$1,263,638,376 |
| Dec 1, 2021 | Accounts | 3,810 | 746 | decreased by3,064 |
| Sep 1, 2021 | Disclosures | No | Yes |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PARATUS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PARATUS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.