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


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. 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.

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.

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