Mockingbird Holdings, LLC (Houston)

Mockingbird Holdings, LLC is a large advisory firm based in Houston. It manages $111.59 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Texas.

Mockingbird Holdings provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mockingbird Holdings: assets under management

The assets under management (AUM) of Mockingbird Holdings, LLC is $111.59 million. The firm's AUM has grown by 4356% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $34.25 million in discretionary accounts and $77.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.42 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $9.67 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mockingbird Holdings, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Mockingbird Holdings, LLC

Samir (Nmn) Sinha has served as the Chief Investment Officer since 1 Jan 2009. Renee Nmn Shull joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Samir (Nmn) Sinha	President / ceo / managing member	1 Feb 2004	50% - 75%	2925368
Llc Tes Financial	Member	1 Jan 2007	25% - 50%	20-0866918
Cimalie Ann Zoy	Chief compliance officer	1 Jan 2007	Other	4097118
Ltd. Palantir Capital Management	Member	1 Jan 2007	25% - 50%	20-0866918
Samir (Nmn) Sinha	Chief investment officer	1 Jan 2009	Other	2925368
George Goradia Marie	Managing member	1 Jan 2009	50% - 75%	5690089
Vijay P Goradia	Managing member	1 Jan 2009	50% - 75%	5690097
Debra Lynne Kloote	Chief compliance officer	1 Jul 2009	Other	5690096
Renee Nmn Shull	Chief compliance officer	1 Apr 2010	Other	5785698

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Edwin Samuels	Managing member	1 Mar 2004	75% - 100%	1147364
Llc Tes Financial	General partner	1 Mar 2004	Other	20-0866918

Based in Houston

The principal office where Mockingbird Holdings, LLC performs its advisory services is located at 16800 Imperial Valley Drive, Houston, TX 77060, 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 (281) 618-1302 or by fax (281) 931-1640. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.