Gerald L. Ray & Associates, Ltd. (Dallas)


Gerald L. Ray & Associates, Ltd. is a large advisory firm based in Dallas. It manages $830.73 million of regulatory assets for 680 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, Louisiana, and 7 other states.

Gerald L. Ray & Associates 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.

Gerald L. Ray & Associates: assets under management

The assets under management (AUM) of Gerald L. Ray & Associates, Ltd. is $830.73 million. The firm's AUM has grown by 5% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $808.59 million in discretionary accounts and $22.15 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.21 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.85 million.
Gerald L. Ray & Associates has custody of $9.21 million in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gerald L. Ray & Associates, Ltd. 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.

Careers at Gerald L. Ray & Associates, Ltd.

Gerald Louis Ray has been acting as President since 1 Sep 1977. Jhr 2012 Gst Trust joined the executive team most recently as the 40% Limited Partnership Interest In Gerald L Ray & Assoc., Ltd.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Charles Thomas Gideon Vice president 1 Sep 1977 Other 4412146
Gerald Louis Ray President 1 Sep 1977 75% - 100% 2099338
Rose M Pasillas Vice president 1 Jul 1989 Other 4412096
Charles Thomas Gideon Vice president 1 Sep 1989 Other 4412146
Joseph Howard Ray Vice president 1 Nov 1989 Other 2694358
Vicki Lynn Whittington Operations manager 1 Feb 1994 Other 4412149
Llc Gerald L Ray & Associates I General partner gerald l ray & assoc., ltd 1 Jun 2001 Other 75-2944699
Michael Roth Beck Investment advisor representative 1 Jun 2001 Other 1278243
Llc. Gerald L Ray & Associates I General partner gerald l ray & assoc., ltd 1 Jun 2001 Other 75-2944699
Marcia K Talbott Bookkeeping manager 1 Nov 2001 Other 4780948
Michael Roth Beck Vice president 1 Sep 2003 Other 1278243
Gerald Louis Ray Chairman of board, limited partner of gerald l ray & assoc., ltd 1 Mar 2004 25% - 50% 2099338
Joseph Howard Ray President (since 3/2004) and trustee of jhr 2012 gst trust (since 12/2012) 1 Mar 2004 25% - 50% 2694358
Rose M Pasillas Senior vice president 1 Mar 2004 Other 4412096
Michael Roth Beck Senior vice president 1 Mar 2004 Other 1278243
Marcia K Talbott Bookkeeper 1 Nov 2008 Other 4780948
Michael Harry Kane Executive vice president 1 Feb 2009 Other 2209273
Leo Fields Executive vice president 1 Feb 2009 Other 2307726
Lynette Kay Heil Accountant 1 Jul 2010 Other 5833481
Michael Roth Beck Executive vice president 1 Jan 2011 Other 1278243
Lynette Kay Heil Chief compliance officer/chief financial officer 1 Apr 2011 Other 5833481
Jhr 2012 Gst Trust 40% limited partnership interest in gerald l ray & assoc., ltd 1 Dec 2012 25% - 50% 46-6420755
Jrf 2012 Gst Trust 10% limited partnership interest in gerald l ray & assoc., ltd 1 Dec 2012 Other 46-6417093
Julie Ray Fields Trustee of jrf 2012 gst trust 1 Dec 2012 Other 6172163

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Gerald Louis Ray Managing member 1 Jun 2001 75% - 100% 2099338
Llc. Gerald L. Ray & Associates I General partner 1 Jun 2001 Other 75-2944699
Joseph Howard Ray Trustee 1 Dec 2012 Other 2694358

Based in Dallas

The principal office where Gerald L. Ray & Associates, Ltd. performs its advisory services is located at 1445 Ross Avenue, Suite 5600, Dallas, TX 75202, 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 214-954-1900 or by fax 214-954-1274. The normal business hours are 7:30 a.m.- 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at geraldray.com.