Concorde Investment Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$309,333,630
Clients
125
Advisors
4
across 2 offices
About
Concorde Investment Management is a registered investment adviser that manages roughly $376 million on behalf of about 125 clients through a small advisory team. It serves individuals (including high‑net‑worth clients) and a variety of legal entities — trusts, estates, corporations, limited partnerships and investment companies — offering portfolio management and financial planning on both discretionary and non‑discretionary bases.
The firm employs a value‑and‑income investment approach, using fundamental analysis to build diversified portfolios across industries and capitalizations with a typical holding period of two to four years and relatively low turnover. Concorde manages individual separately managed accounts, advises a no‑load mutual fund used by some advisory clients, and provides consulting and business advice related to private pooled vehicles managed by affiliated entities.
A distinctive aspect of Concorde is that, despite its small adviser headcount, it is involved with investment company and private fund activities that are uncommon among similarly supported firms: it serves as investment adviser to a registered mutual fund, consults for private funds sponsored by affiliated firms, and is connected to fund‑sponsoring and syndication activities. The firm discloses these affiliations and has written allocation procedures, a Code of Ethics, and CCO oversight to address potential conflicts when recommending or allocating investments among client accounts and affiliated funds.
Client services
Expertise
Occupation focus
Fee options
$0 - $1,000,000: 1.00% per annum (1/4 per quarter) $1,000,001 - $2,000,000: 0.75% per annum (1/4 per quarter) $2,000,001+: 0.50% per annum (1/4 per quarter)
Clerical and Administrative: $150 per hour; Analysis and Professional: $200 to $300 per hour
Fee-only: Fee-only basis including investment management fees and hourly or retainer financial advisory fees.
Main office
See office8383 Preston Center Plaza Drive, Suite 360
Dallas TX 75225
Advisors at this office
3
Offices (2)
Most active in
Louisiana · Nebraska · North Carolina · Texas · Washington
Also doing business as
Concorde Financial Corp · Concorde Financial Corporation · Concorde Investment Management
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Barbara S
Series 65
Dallas, TX
Concorde Investment Management
Barbara Spicer is a financial advisor at Concorde Investment Management in Dallas, TX, holding a Series 65 designation with two years of industry experience. She has been with Concorde Investment Management since 2014. Concorde Investment Management provides investment advisory and financial planning services to individuals, trusts, estates, corporations, limited partnerships, and other private entities. The firm employs a value-and-income investment approach focused on fundamental analysis, managing separately managed accounts and serving as adviser to an in-house mutual fund while offering consulting related to private pooled investment vehicles.
John S
Series 63, Series 65
Dallas, TX
Concorde Investment Management
John Stetter is a financial advisor at Concorde Investment Management in Dallas, TX, holding Series 63 and Series 65 designations with 21 years of industry experience. He has been with Concorde Investment Management since 1994. Concorde Investment Management provides investment advisory and financial planning services primarily to individual clients, trusts, estates, corporations, limited partnerships, and other private entities. The firm employs a value-and-income investment approach focused on fundamental analysis, offering tailored asset allocations and managing both discretionary and non-discretionary accounts, including an in-house mutual fund and consulting services for private pooled investment vehicles.
Gregory W
Series 65
Dallas, TX
Concorde Investment Management
Gregory Wood is a Series 65 licensed financial advisor at Concorde Investment Management in Dallas, TX, with 11 years of industry experience. He has been with Concorde since 2014. Concorde Investment Management is a registered investment adviser managing approximately $376 million for about 125 clients, including individuals and various legal entities. The firm employs a value-and-income investment approach, focusing on diversified portfolios with a typical holding period of two to four years, and is involved in both registered mutual fund advisory and private fund consulting activities.
Gary W
Dallas, TX
Concorde Investment Management
Gary Wood is a financial advisor at Concorde Investment Management with 33 years of industry experience. He has been with Concorde since 1981. Concorde Investment Management provides investment advisory and financial planning services primarily to individual clients, trusts, estates, corporations, limited partnerships, and other private entities. The firm employs a value-and-income investment approach with a focus on fundamental analysis, managing separately managed accounts and advising an in-house mutual fund, while also offering consulting services related to private pooled investment vehicles.
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