American National Registered Investment Advisor, Inc. (League City)

American National Registered Investment Advisor, Inc. is a large advisory firm based in League City. It manages $206.03 million of regulatory assets for 26 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Oklahoma, South Carolina, and Texas.

American National Registered Investment Advisor 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.

American National Registered Investment Advisor: assets under management

The assets under management (AUM) of American National Registered Investment Advisor, Inc. is $206.03 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -2% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $206.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $7.92 million each.

Investments

The firm invests in exchange traded securities the most. They account for 80% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 13% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay American National Registered Investment Advisor, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Edward Pozzi serves?

The firm provides services to insurance companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of James Edward Pozzi is charitable organizations with 5 clients and $101 million of assets under management. Among the 9 most similar advisory firms, American National Registered Investment Advisor has the highest percentage of charitable organizations out of all clients.

The amount of regulatory assets under management is $206.03 million for 26 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

American National Registered Investment Advisor doesn't advise any private funds.

Careers at American National Registered Investment Advisor, Inc.

The company employs 28 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. 4 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.

James Edward Pozzi has been acting as President since 1 Aug 2010. Timothy Allen Walsh joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Edward Pozzi	Director	1 Aug 2010	Other	1948825
G Richard Ferdinandsten	Director	1 Aug 2010	Other	2988483
George Richard Ferdinandsten	Director	1 Aug 2010	Other	2988483
American National Insurance Company	Parent	1 Nov 2010	75% - 100%	74-0484030
Anne Marie Lemire	Treasurer	1 Nov 2010	Other	2086582
Gordon Dennis Dixon	President, chief executive officer, director	1 Nov 2010	Other	1689021
Dwain Allen Akins	Vice president, chief compliance officer	1 Nov 2010	Other	2583010
John Mark Flippin	Secretary	1 Nov 2010	Other	2281424
Brian K Weyer	Assistant treasurer	1 Nov 2010	Other	5866309
Brian Keith Weyer	Assistant treasurer	1 Nov 2010	Other	5866309
Deanna Denise Donaghe Snedden	Assistant treasurer	1 Aug 2011	Other	5984352
John J Dunn	Director	1 May 2012	Other	4458461
Deanna Denise Donaghe Snedden	Treasurer	1 May 2015	Other	5984352
Anne Marie Lemire	President, chief executive officer, director	1 May 2015	Other	2086582
Suzanne Brock Saunders	Vice president, finance	1 Jun 2017	Other	6472650
Brian Michael Burke	Avp, compliance	1 Jun 2017	Other	1563732
Timothy Allen Walsh	Director	1 Jan 2018	Other	6910455

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Libbie Shearn Moody Trust	Shareholder	1 May 1943	25% - 50%	74-6034741
Moody National Bank	Trustee	1 May 1943	25% - 50%	74-0560665
Irwin Max Herz	Trustee	1 Apr 1971	75% - 100%	1472173
Three R Trusts	Shareholder	1 Dec 1982	75% - 100%	76-0321229
Inc. Moody Bank Holding Company	Shareholder	1 Dec 1988	75% - 100%	88-0243449
Inc. Moody Bancshares	Shareholder	1 Dec 1988	75% - 100%	76-0042826

Based in League City

The principal office where American National Registered Investment Advisor, Inc. performs its advisory services is located at 2450 South Shore Blvd, League City, TX 77573 2997, which is also the mailing address of the firm. An additional office of the firm is in Galveston, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 281-521-3485 or by fax 281-521-3445. The normal business hours are 8:00 am to 4:30 pm on Monday - Friday.