Unclaimed Profile

Thomas Duane Faught

RIVERSTONE WEALTH MANAGEMENT·AUSTIN, Texas

SIE, Series 3, Series 6, Series 7, Series 24, Series 63, Series 66, Series 99TOChFCClean record22 years registeredRIVERSTONE WEALTH MANAGEMENT

7801 CAPITAL OF TEXAS HWY, AUSTIN, TX 78731CRD# 1641238Firm CRD# 40418

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Duane Faught · AUSTIN, TX

Registration

CRD #1641238 · RIVERSTONE WEALTH MANAGEMENT · 22 years registered

Brand Profile

Not yet started

Career History

CARY STREET PARTNERS

Nov 2013 – present

RIVERSTONE WEALTH MANAGEMENT

Mar 2009 – Dec 2013

SAN ANTONIO, TX

UBS FINANCIAL SERVICES INC.

Jul 2004 – Mar 2009

SAN ANTONIO, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 6

Series 7

Series 24

Series 63

Series 66

Series 99TO

Registration record

First registered · July 2, 2004

Years registered · 22

Professional designation · ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RIVERSTONE WEALTH MANAGEMENT

CRD 40418 · SEC 801-63700

AUM

$380M

Regulatory assets under management

Employees

2,732 client accounts

Services offered by RIVERSTONE WEALTH MANAGEMENT

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RIVERSTONE WEALTH MANAGEMENT →

Introduction

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Frequently Asked Questions

What services does Thomas Duane Faught offer?

Thomas Duane Faught specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in AUSTIN, Texas for a consultation.

What are Thomas Duane Faught's credentials?

Thomas Duane Faught holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas Duane Faught located?

Thomas Duane Faught is based in AUSTIN, Texas, working with RIVERSTONE WEALTH MANAGEMENT. Their office serves clients in the AUSTIN metropolitan area and surrounding communities.

How does Thomas Duane Faught charge for services?

Thomas Duane Faught's firm is compensated through percentage of aum, hourly charges, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RIVERSTONE WEALTH MANAGEMENT?

RIVERSTONE WEALTH MANAGEMENT has approximately 23 employees and manages $380M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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