U.S. Global Investors, Inc. (San Antonio)

Name: U.S. Global Investors, Inc.
Address: 7900 Callaghan Road, San Antonio, TX, 78229
Telephone: 210-308-1234

U.S. Global Investors, Inc. is a large advisory firm based in San Antonio. It manages $512.42 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Texas.

U.S. Global Investors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

U.S. Global Investors: assets under management

The assets under management (AUM) of U.S. Global Investors, Inc. is $512.42 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -59% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $512.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $46.58 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay U.S. Global Investors, Inc. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thomas Francis Lydon serves?

The only and largest group of clients of Thomas Francis Lydon is investment companies with 2 clients and $512.42 million of assets under management. Among the 7 most similar advisory firms, U.S. Global Investors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $512.42 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

U.S. Global Investors doesn't advise any private funds.

Careers at U.S. Global Investors, Inc.

The company employs 23 people that are either part- or full-time employees. 30 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Thomas Francis Lydon has been acting as President since 1 Jun 1997. Rita Elizabeth Tholt joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jerold Howard Rubinstein	Director, chairman of the board	1 Oct 1989	Other	4385786
Frank Edward Holmes	Chief executive officer, chief investment officer	1 Oct 1989	75% - 100%	4385517
Inc. F.E. Holmes Organization	Shareholder -- class c stock	1 Oct 1989	Other	foreign entity
Rs Value Group Llc	Shareholder -- class a stock	1 Sep 1991	Other	94-3321067
Rs Investment Management Co.	Shareholder -- class a stock	1 Sep 1991	Other	94-3321067
Royce & Associates Inc.	Shareholder -- class a stock	1 Feb 1993	Other	13-2579297
Susan Brock Mcgee	President, general counsel	1 Mar 1994	Other	2384738
Susan B Mcgee	President, general counsel	1 Mar 1994	Other	2384738
Roy David Terracina	Vice chairman of the board of directors	1 Dec 1994	Other	4386182
Inc. Mason Hill Asset Management	Shareholder -- class a stock	1 Mar 1996	Other	13-3360821
Tammy Jean Ross	Compliance officer	1 Feb 1997	Other	2579670
Susan Brock Mcgee	President, general counsel	1 Mar 1997	Other	2384738
Joseph Stephen Penner	Director	1 May 1997	Other	4373106
Thomas Francis Lydon	Director	1 Jun 1997	Other	1099080
Elias Suarez	Vice president, institutional sales	1 Jul 1997	Other	2234308
Tracy Clay Peterson	Chief accounting officer	1 Dec 1999	Other	2817974
Bobby Dean Duncan	Chief financial officer, chief operating officer	1 Dec 2000	Other	1425857
Tracy Clay Peterson	Chief financial officer	1 Feb 2002	Other	2817974
Waverly Eric Banks	Vice president/compliance officer	1 Sep 2002	Other	3132210
Catherine Ann Rademacher	Chief financial officer	1 Aug 2004	Other	4797800
Shannon Foster Neill	Chief operating officer	1 Sep 2004	Other	4858715
Insight Capital Resources	Shareholder	1 Dec 2005	Other	0000000
Jerold Howard Rubinstein	Director, chairman of the board	1 Feb 2006	Other	4385786
James Lawrence Love	Chief compliance officer	1 Sep 2007	Other	4543352
Lisa Christine Callicotte	Chief financial officer	1 Jul 2013	Other	5703473
Joseph Michael O'donnell	Chief compliance officer	1 Aug 2018	Other	1792763
John Elliott Baroncelli	Chief compliance officer	1 May 2019	Other	7122709
Rita Elizabeth Tholt	Chief compliance officer	1 Jul 2019	Other	2194696

Based in San Antonio

The principal office where U.S. Global Investors, Inc. performs its advisory services is located at 7900 Callaghan Road, San Antonio, TX 78229, 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 210-308-1234 or by fax 210-308-1261. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at usfunds.com.