Overflow Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
OverFlow Financial LLC provides portfolio management and financial planning services to individual clients. The firm prepares a written Investment Policy Statement for each client and generally limits its investment recommendations to mutual funds, fixed income securities, equities, ETFs, Treasury inflation-protected securities, and insurance products including annuities.
The firm’s investment process emphasizes fundamental analysis and a long-term trading approach, with portfolio decisions guided by client-specific Investment Policy Statements and periodic monitoring; the firm does not accept investment discretion over client accounts. OverFlow states it seeks fair and equitable allocation of investment opportunities across accounts, acts as a fiduciary for retirement accounts, and relies on custodial statements for client reporting.
Noteworthy aspects include an affiliation between the firm’s principal and the insurance industry—the principal is a licensed insurance agent with Ash Brokerage—which the brochure discloses as a potential conflict when insurance or annuity products are recommended and describes procedures to disclose and periodically review such recommendations. The firm is newly formed with a single management person, currently reports no assets under management or client accounts, and delivers financial planning primarily as a one-time engagement unless clients request additional services.
Client services
Expertise
Fee options
$1,500 to $3,000 fixed fee for financial planning
$25,000+: 1.50% annually
Account minimum: $25,000
Main office
Missouri City TX
Advisors at this office
1
Most active in
Texas
Also doing business as
Overflow Financial · Overflow Financial LLC
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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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.
Forms ADV
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