BISON INVESTMENT ADVISORS, LLC of THE WOODLANDS, TX is an SEC-registered investment adviser (CRD 149775). Regulatory assets under management: $157.5M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: High net worth, Pensions, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Dwayne Mark Tidwell | PRESIDENT AND CHIEF INVESTMENT OFFICER | The Woodlands, TX |
| Tara Anne Roman | RELATIONSHIP MANAGER AND CHIEF COMPLIANCE OFFICER | — |
| David Allen Turner | MANAGING DIRECTOR, SENIOR FINANCIAL ADVISOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-04-07 | regulatory | IN ACCORDANCE WITH A ROUTINE AUDIT, THE SECURITIES COMMISSIONER OF THE STATE OF TEXAS ALLEGED THAT BISON INVESTMENT ADVISORS, LLC INAPPROPRIATELY HELD A LEVERAGED EXCHANGE TRADED FUND IN CLIENT ACCOUNTS FOR LONGER THAN A DAY AND THAT HOLDING THE LEVERAGED EXCHANGE TRADED FUND IN CLIENT ACCOUNTS LONG… | Final | $20K |