U.S. CAPITAL ADVISORS - Key Persons
Job Titles:
- Managing Director
- Managing Director at U.S. Capital Advisors
Ms. Ton is a Managing Director at U.S. Capital Advisors. She has been a private client advisor in Houston for more than 20 years. She joined USCA from J.P. Morgan Securities, where she spent the past 17 years working with professionals such as physicians, attorneys, executives and entrepreneurs in and around the Houston Medical Center.
With a specialization in wealth management strategies, she focuses primarily on proactively formulating and delivering customized approaches to wealth accumulation, preservation and distribution, along with legacy transference, to help her select private client group achieve their goals. Her team achieves these objectives through a comprehensive portfolio analysis, dynamic risk management philosophy, active management and open communication.
Mrs. Ton attended Texas A&M University, graduating with a Bachelor of Business Administration in Accounting. For her last 10 years at JP Morgan, she was consistently recognized for being a JP Morgan National Achiever and in 2013 she was recognized for being in the top 1%. Ms. Ton resides in Houston with her husband of 23 years and their 3 children.
Job Titles:
- Financial Advisor
- Financial Advisor for the Gottesman Group Responsible
Ashley is a Financial Advisor for The Gottesman Group responsible for promoting client relationships, portfolio management, reporting and business development.
Before beginning her career in the financial services industry Ashley worked at Capital Sports & Entertainment. Her background includes experience in Finance, Accounting, Human Resources and Operations. She assisted in the opening of several small businesses in the Austin area including Mellow Johnny's Bike Shop, Juan Pelota Café and Hotel Ella.
Ashley received her Bachelors of Science in Public Relations and the Texas Business Foundations Certification from the University of Texas in Austin. Passionate about giving back to the community Ashley serves as an active member of The Junior League of Austin. Ashley and her husband Jackson were both raised in Austin and were high school sweethearts.
Job Titles:
- Senior Managing Director / Head of Institutional Equity Sales
- Senior Managing Director in the Institutional Client Group at U.S. Capital Advisors
Mr. Guinn is a Senior Managing Director in the Institutional Client Group at U.S. Capital Advisors. His primary responsibilities include providing research, corporate access, trading capabilities, and relationship management to institutional investors investing in US energy infrastructure companies.
Prior to joining U.S. Capital Advisors, Mr. Guinn was a Vice President in the Institutional Equities Group at UBS for nine years. He served as relationship manager to institutional investors and family offices investing in energy, primarily in the form of Master Limited Partnerships. Prior to joining UBS, he was an associate in Institutional Equities at Deutsche Bank covering middle market institutions in the Southwest region.
Mr. Guinn graduated from Texas A&M University with a Bachelor of Business Administration. He resides in Plano with his wife and two children.
Job Titles:
- Head of Research
- Senior Managing Director
Mrs. Followill is Head of Research and a Senior Managing Director covering Midstream Infrastructure and Water Utilities at U.S. Capital Advisors. She is also a member of USCA's Operating Committee. In addition to her over 20 years in equity research, her diversified energy background includes experience in reservoir engineering, power plant development and natural gas pipeline planning and operations.
Prior to joining U.S. Capital Advisors, she was a Managing Director and Head of Midstream Research for Tudor, Pickering, Holt & Co, covering pipelines, integrated natural gas companies and midstream providers. Before that, she was with Howard Weil, covering the Gas and power sectors and with Merrill Lynch, covering natural gas utilities. She also spent 11 years for various Tenneco divisions, including Tenneco Inc., Tennessee Gas Pipeline and Tenneco Oil Company.
Thomson Reuters named Mrs. Followill as the number two stock picker for Oil, Gas and Consumable Fuels for 2016. In 2019, she was named one of the 25 Influential Women in Energy.
Mrs. Followill has a Bachelor of Science degree in Petroleum Engineering from Texas A&M University and a Masters of Business Administration from the University of Houston. She resides in Houston with her husband.
Job Titles:
- Managing Director / Head of Trading
- Managing Director and Senior Trader at U.S. Capital Advisors
Mr. Stammen is a Managing Director and Senior Trader at U.S. Capital Advisors. Prior to joining the Firm, he was Head of Trading and COO for SteelPath Capital Management, LLC (formerly Alerian Capital Management, LLC), a Dallas based asset manager of energy infrastructure portfolios. Before this, Mr. Stammen spent approximately 10 years in New York working as a cash equity trader for several investment banks including Goldman Sachs and Salomon Smith Barney.
Mr. Stammen has a Bachelor of Arts in Biology from Miami University, and a Master of Business Administration (with a concentration in Finance) from the Stern School of Business at New York University. He resides in Fort Worth with his wife and daughter.
Job Titles:
- Chartered Financial Analyst
- Managing Director
- Managing Director at U.S. Capital Advisors
Mr. Horwitz is Managing Director at U.S. Capital Advisors, leading Exploration and Production (E&P) equity research and contributing to clean energy macro analysis including carbon capture and hydrogen markets. Previously, he was a Senior Associate of equity research covering the E&P sector at Canaccord Genuity in Houston. Prior to joining Canaccord, Mr. Horwitz was a Senior Associate at SunTrust Robinson Humphrey and has also held positions at Iroquois Capital L.P. and Morgan Stanley.
Mr. Horwitz is a Chartered Financial Analyst and holds the SASB Fundamentals of Sustainability Accounting (FSA) credential. He graduated magna cum laude from the University of Miami with a B.B.A. in Finance. In October 2014, Institutional Investor magazine named Mr. Horwitz to their All-American Rising Stars list for the second consecutive year. In January 2014, Cameron was selected to the Forbes Magazine 30 Under 30 list as one of the top performers in the financial sector. Mr. Horwitz is also a contributor to Bloomberg, Dow Jones News, the Wall Street Journal and various other financial and energy- related publications.
Job Titles:
- Senior Managing Director / Market Manager - Dallas
- Senior Managing Director at U.S. Capital Advisors
Charles Dix is a Senior Managing Director at U.S. Capital Advisors (USCA) in Dallas. Charles, along with Clayton Fisher, Denise Clifton and their associates are known as the Dix-Fisher Financial Consulting Group. They joined USCA in 2016 from Wells Fargo Advisors, bringing with them over 93 years of combined experience. The team works with clients to establish and review comprehensive wealth strategies.
Mr. Dix began his career in 1984 with Dean Witter. During his 31-year tenure in the industry, he has served as a financial advisor and in management roles at Dean Witter, Morgan Stanley, Wachovia Securities and most recently, Wells Fargo Advisors. Mr. Dix has been a FINRA arbitrator and a chairman of arbitration cases for over 20 years.
Charles holds a Liberal Arts degree from Austin College, with a major in business and economics. He is a graduate of the Wharton School of Business Corporate Management Program and the Southern Methodist University Certified Financial Planning program.
Chris Arnold - CFO, Managing Director
Job Titles:
- Chief Financial Officer
- Managing Director
- Chief Financial Officer and Managing Director in the Finance and Accounting Group
Mr. Arnold is the Chief Financial Officer and Managing Director in the Finance and Accounting group at US Capital Advisors LLC. He was previously the Senior Director of Accounting and Finance at Salient from June 2010 to March of 2017 and has over 15 years of accounting and consulting experience. He served as the Principal Financial Officer and Treasurer for Salient's investment funds.. Prior to joining Salient, Mr. Arnold was the Controller of Main Street Bank in Kingwood, Texas from November 2009 - June 2010, a bank focused on providing lease financing to the medical and personal fitness industry. At Main Street Bank, Mr. Arnold was responsible for the monthly close of the Bank's financial results as well as the various regulatory requirements with the Federal Reserve. Prior to Main Street Bank, Mr. Arnold was an Audit Manager in the Houston office of PricewaterhouseCoopers, LLP, an international accounting and auditing firm, from January 2003 through November 2009. While there, he served clients in the asset management industry including both registered and non-registered investment funds providing audit and business consulting services. Prior to PricewaterhouseCoopers LLP, Mr. Arnold was a senior fund accountant in the Princeton New Jersey office of the firm at State Street Corporation, an independent fund administration firm, from May 2001 through December 2002, where he was responsible for the daily administration of registered investment products, primarily related to the Merrill Lynch family of mutual funds. Mr. Arnold is a licensed certified public accountant in the state of Texas and is a member of the American Institute of Certified Public Accountants and the Texas Society of CPAs. He holds B.S. degrees in accounting and finance from Salisbury University (May 2001).
Mr. Mohajer is an analyst covering Batteries at U.S. Capital Advisors. Previously, he worked in technical sales for Digatron Power Electronics, a battery test & formation equipment supplier. Prior to Digatron, he held several roles at California Clean Energy Fund.
Mr. Mohajer graduated from the University of Texas at Austin with a BA in Economics.
Job Titles:
- Managing Director
- Managing Director of Trading in the Institutional Client Group at U.S. Capital Advisors
Mr. Turner is a Managing Director of Trading in the Institutional Client Group at U.S. Capital Advisors and has been involved in the capital markets business for 19 years. Before joining the Firm, he was an Institutional Equities Trader for Pulse Trading, prior to that he managed technology projects for Bank of America's electronic DMA trading platform. Mr. Turner spent seven years as a NASDAQ Market Maker at Southwest Securities before transitioning to Sales Trader. He has also served a total of 10 years on the Dallas Security Traders Association Board of Directors, five as a Director and five as an Officer.
Mr. Turner graduated from Oklahoma State University with a Bachelor of Science in Finance.
Mr. Ventura is an analyst on the Refining Research team at U.S. Capital Advisors. Previously, he was a materials scientist for oilfield services company Baker Hughes developing nano-enabled sensors and advanced composites. He joined USCA in 2018.
He earned his PhD in chemistry from Florida State University under the direction of Nobel Prize winner Harold Kroto and holds a BS in chemistry from Purdue University.
Job Titles:
- Managing Partner
- Member of the Leadership Team
- Board Member, Managing Partner, Head of Capital Markets and Co - Head of Asset Management at U.S. Capital Advisors
- Equity Sales
Mr. King is a founder, board member, Managing Partner, Head of Capital Markets and Co-Head of Asset Management at U.S. Capital Advisors. He oversees all business functions that provide service to the Firm's Institutional and Corporate Clients.
Previously Mr. King was a Managing Director and Head of Energy Infrastructure at UBS for 9 years. He has over 22 years experience in the Financial Services industries.
Mr. King holds a B.A. from the University of Texas at Austin and an M.B.A. from The American University in Washington, DC. He has been a CFA Charter Holder since 1999 and is a member of CFA Institute and the Houston Association of Investment Analysts. He is active in the Houston community and has held advisory board positions for non-profit organizations including the Children's Museum of Houston, Heroes for Children and is a lifetime Ambassador for Texas Children's Hospital.
Job Titles:
- Head of Operations
- Senior Managing Director
Ms. Palmer is an industry veteran with more than 35 years of experience in wealth management industry operations. Prior to joining U.S. Capital Advisors, she managed all areas of operations over her 30 plus year career with UBS Financial Services and its predecessor firm, PaineWebber, based in Houston.
Ms. Palmer is licensed as a securities professional with Series 7, 8, 9/10, 63, and 66 licenses and the NFA Securities Principle & Certification. She currently lives in Houston with her son.
Job Titles:
- Research Assistant
- Research Assistant at U.S. Capital Advisors
Ms. Cardozo is a Research Assistant at U.S. Capital Advisors. She was formerly at Sanders Morris Harris for 12 years where her roles included Administrator for Pool Capital Partners, an Energy Hedge Fund, from 2003 to 2010, and Research Assistant for a Senior Natural Gas Analyst and junior analysts at Sanders Morris Harris from 1998 to 2003. Previously, Ms. Cardozo worked at Merrill Lynch for 14 years in several roles, including Assistant to the Director of Research in Houston; Office Administrator for Houston's Investment Banking office; and Receptionist Supervisor for facilities at Merrill Lynch in New York.
Job Titles:
- Senior Client Service Associate
Mr. McTee is a Senior Managing Director and head of the Austin Market at U. S. Capital Advisors, LLC. Mr. McTee is responsible for building and overseeing all business functions and retail operations for the Austin market. He has been successfully helping financial advisors build their businesses as well as building and managing retail offices in and around Texas for 32 years.
During his successful 26-year career in the major wire house model, he was with Merrill Lynch for five years as a Financial Consultant and Wells Fargo Advisors (and its predecessor firms Wachovia Securities and Prudential Securities) for 21 years where he held positions as a Financial Advisor, a Branch Manager, Complex Manager as well as the Southwest Regional President. Most recently, Mr. McTee ran a 14-office complex of 130 retail financial advisors in Central and West Texas for Wells Fargo Advisors. During this time, he earned the designation of one of the top 100 Branch Managers in the United States by On Wall Street magazine.
Mr. McTee holds a B.B.A. in Management from The University of Texas at Austin. He has held the designation of Certified Financial Planner (CFP®) for over 24 years. He is active in his church, his community as well as the industry where he is certified as an Arbitrator for Financial Industry Regulatory Authority (FINRA). He lives in Austin with his wife and three children.
Job Titles:
- Director
- Financial Advisor
Job Titles:
- Executive Director
- Executive Director With U.S. Capital Advisors
Gil A. Beer is an Executive Director with U.S. Capital Advisors where he has been since its founding eleven years ago. Prior to joining U. S. Capital Advisors, Mr. Beer advised top corporate executives in UBS's Corporate Stock Benefits and Wealth Management Groups. Also, while at UBS he assisted the Institutional Equities Group in relationship management.
Mr. Beer earned his bachelor's degree in Business Management from Texas A&M University. Gil is actively involved in many charitable organizations, including serving on the Board of Goodwill Industries.
Gil currently lives with his wife, Stacey, and their two children in Houston, Texas. He is an avid outdoorsman as well as an enthusiastic tennis player.
Mr. Carreker is an Executive Director covering Midstream Infrastructure companies and Water Utilities. He is a graduate of the Jones Graduate School of Business at Rice University. Mr. Carreker received the CFA® designation in November 2014. Thomson Reuters named Mr. Carreker as the number one stock picker for Oil, Gas and Consumable Fuels for 2015.
Prior to graduate school, Mr. Carreker earned a B.B.A. in Finance from the University of Texas at Austin and worked for three years as a tax consultant in Dallas, Texas. While at Rice, he was a Senior Energy Analyst in the M.A. Wright Fund, a student-managed investment fund, a member of Beta Gamma Sigma, and President of the Rice Golf Club.
Mr. Sease is an Associate in the Investment & Merchant banking group. Prior to joining U.S. Capital Advisors, Mr. Sease worked at Crestline Denali Capital, a specialized investment management firm, managing portfolios of leveraged commercial loans and related assets across various industries. Prior to working for Crestline, Mr. Sease worked in the Private Equity and Transaction Services group at BKD, LLP, a CPA and advisory firm, performing due diligence on merger and acquisition transactions for private equity groups and corporate acquirers. Before working in BKD's Private Equity and Transaction Services group, Mr. Sease worked for BKD's Commercial Loan Review advisory practice where he underwrote commercial loan portfolios and evaluated credit policies as a Consultant for commercial banks. He is a graduate of Baylor University's Hankamer School of Business with a B.B.A. in both Finance and Entrepreneurial Management.
Job Titles:
- Senior Registered Associate
Job Titles:
- Chief Administrative Officer
- Senior Managing Director
- Chief Administrative Officer and Senior Managing Director for U.S. Capital Advisors
Ms. Sandoval is Chief Administrative Officer and Senior Managing Director for U.S. Capital Advisors. She was previously a Director with UBS Financial Services Inc. and brings with her over 13 years of industry experience. Her background includes experience in various elements of the business, including but not limited to, Operational, Administrative and Compliance. Her experience includes working in Chicago as an Associate Director and Operations Manager for one of the largest branches of UBS Financial Services. While with UBS in Houston, she gained valuable experience being responsible for administration for businesses ranging from wealth management to corporate stock benefits to institutional fixed income and equities.
Ms. Sandoval has a Bachelor of Science degree from the University of Houston with a double major in Business Administration and Management.
Ms. Rich is a Director in the Institutional Client Group at U.S. Capital Advisors. Prior to joining the Firm, she provided operational and logistics support for the UBS Institutional Equities Group. Responsibilities included account opening, trading, and restricted sales for private clients as well as coordination of analyst meetings and management of roadshows for institutional clients. Ms. Rich also previously worked in the Private Wealth Management group at Morgan Stanley and as Executive Assistant to the Chairman of a commercial real estate firm.
Ms. Rich holds a B.B.A. from the University of Texas at Austin and a J.D. from South Texas College of Law. She is a weekly volunteer at MD Anderson Cancer Center and serves on the Board of Trustees for Hospitality Apartments.
Mrs. Graf is an analyst on the E&P Equity Research team at U.S. Capital Advisors. Previously, she interned with Valero, Noble Group, and Energy XXI. Mrs. Graf earned a Bachelor of Science degree in Petroleum Engineering and a certificate in the Petroleum Ventures Program from Texas A&M University.
Job Titles:
- Managing Director / Branch Manager - Houston
- Senior Managing Director / Branch Manager - Houston
Mrs. Trieglaff has been in the financial services industry for over 28 years. She spent 22 years at UBS, with earlier positions at Drexel Burnham Lambert and Smith Barney. Mrs. Trieglaff has spent the last decade as a Branch Manager creating branch office environments where advisors and their teams provide customized service and investment solutions to their clients. She holds FINRA Series 7,8,63 and 65 securities licenses, in addition to an insurance license.
Mrs. Trieglaff earned a Bachelor of Business Administration degree from Texas A&M University at College Station. She's held athletic club board positions and contributes to a variety of non-profit organizations and charities. She and her husband live in Houston and have 2 sons.
Job Titles:
- CEO
- Managing Partner
- Member of the Leadership Team
- Founder, Board Member, Chief Executive Officer, Managing Partner, Head of Wealth Management and Co - Head of Asset Management at U.S. Capital Advisors
Mr. Mendenhall is a founder, board member, Chief Executive Officer, Managing Partner, Head of Wealth Management and Co-Head of Asset Management at U.S. Capital Advisors.
Mr. Mendenhall was previously a Managing Director and Complex Manager in the Wealth Management Group at UBS for 19 years. He has over 33 years of experience in the Financial Services industry.
Mr. Mendenhall's wealth management complex at UBS ranked in the top five wealth management complexes in the U.S. for the UBS Wealth Management Group. During his 15 years of running the complex, Mr. Mendenhall more than tripled the revenue and assets of his complex through recruiting and development. He also seeded what became the UBS International Office in Houston and was instrumental in opening the UBS Private Banking office by contributing advisors to both operations.
Mr. Mendenhall graduated from Oregon State University. He is a Trustee of the Oregon State University Foundation and previously sat on the Foundation's Investment Committee. He is a current Board member of the Houston SPCA (Society for the Prevention of Cruelty to Animals) the largest animal rescue in Texas. He has previously served as a Vice Chairman of the Houston Livestock Show and Rodeo Corporate Development Committee and remains a lifetime member and contributor.
Rae Lees - Managing Director
Steve Gott - Chief Compliance Officer
Job Titles:
- Chief Compliance Officer
- AML Compliance Officer
Mr. Gott joined U.S. Capital Advisors in May, 2012 as a Senior Compliance Officer. He is a veteran in the financial services industry dating back to 1994 when he served as an assistant operations manager at Chase Securities of Texas. Prior to joining the Firm, Mr. Gott served as the AML Compliance Officer for two FINRA member firms, Sanders Morris Harris Inc. and Global Financial Services, LLC.
At U.S. Capital Advisors Mr. Gott serves as the designated AML Compliance Officer while maintaining supervisory and oversight responsibility for Equity Research and Municipal Securities. He holds the Series 4, 7, 24, 53, 66 and 87 licenses. Mr. Gott also holds the CAMS designation and is a member of the Association of Certified Anti-Money Laundering Specialist (ACAMS®).
Job Titles:
- Senior Managing Director
- Senior Managing Director / Head of Investment Banking
- Senior Managing Director and Head of Investment Banking at U.S. Capital Advisors
Mr. Hurt is a Senior Managing Director and Head of Investment Banking at U.S. Capital Advisors. He is responsible for the equity syndicate business and oversees banking activities.
Mr. Hurt has over 30 years of experience in the Financial Services industry, including 10 years at Sanders Morris Harris and 21 years in various roles at J.P. Morgan Chase and its predecessor entities, including J.P. Morgan Investment Management and Texas Commerce Bank.
Mr. Hurt received his B.A. from the University of Virginia and holds an M.B.A. from the Bauer College of Business - University of Houston. He serves on the Board of the Bauer College of Business - University of Houston. He is also Vice President of the Board of Directors of Communities In Schools-Houston, a non-profit dropout prevention program serving at-risk children, and Vice President of the Houston Alumni Club of the University of Virginia. Mr. Hurt and his wife live in Houston.
Job Titles:
- Registered Client Service Associate