Unclaimed Profile

Arthur Haag Sherman

SANDERS MORRIS, LLC·HOUSTON, Texas

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 6527 years registeredSANDERS MORRIS, LLC

600 TRAVIS, HOUSTON, TX 77002-3003CRD# 2813406Firm CRD# 20580

Profile Verification

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

Identity

Arthur Haag Sherman · HOUSTON, TX

Registration

CRD #2813406 · SANDERS MORRIS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

TECTONIC CAPITAL ADVISORS, LLC

Dec 2025 – present

PRIVUS FINANCIAL, LLC

Apr 2018 – Jan 2019

PLANO, TX

TECTONIC ADVISORS LLC

Apr 2015 – Jan 2026

FRISCO, TX

SUSTAINABLE WOODLANDS PARTNERS, LLC

Jul 2011 – Nov 2011

HOUSTON, TX

SALIENT CAPITAL ADVISORS, LLC

Feb 2011 – Apr 2015

HOUSTON, TX

INTEGRITY CAPITAL, LLC

Dec 2010 – Nov 2011

HOUSTON, TX

GHE ADVISERS, L.P.

Dec 2006 – Nov 2011

HOUSTON, TX

SMH CAPITAL INC.

Sep 2006 – Nov 2008

HOUSTON, TX

ENDOWMENT ADVISERS, L.P.

Jan 2004 – Apr 2015

HOUSTON, TX

SALIENT ADVISORS, L.P.

Sep 2002 – Apr 2015

HOUSTON, TX

REDSTONE CONSULTING LLC

May 1999 – Sep 2002

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Registration record

First registered · May 4, 1999

Years registered · 27

Disclosure History

2002Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SANDERS MORRIS LLC

CRD 20580 · SEC 801-66300

AUM

$820M

Regulatory assets under management

Employees

729 client accounts

Services offered by SANDERS MORRIS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SANDERS MORRIS LLC →

Introduction

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Frequently Asked Questions

What services does Arthur Haag Sherman offer?

Arthur Haag Sherman specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in HOUSTON, Texas for a consultation.

What are Arthur Haag Sherman's credentials?

Arthur Haag Sherman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Arthur Haag Sherman located?

Arthur Haag Sherman is based in HOUSTON, Texas, working with SANDERS MORRIS, LLC. Their office serves clients in the HOUSTON metropolitan area and surrounding communities.

How does Arthur Haag Sherman charge for services?

Arthur Haag Sherman's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANDERS MORRIS, LLC?

SANDERS MORRIS, LLC has approximately 28 employees and manages $820M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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