VALIC FINANCIAL ADVISORS, INC.
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46155. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: Yes
This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.
Insurance Licensed: No
Not insurance licensed. Cannot sell you annuity or insurance products directly.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
17 regulatory action(s), 4 customer complaint(s)/arbitration(s), 2 termination(s) from a firm disclosed on Form ADV Item 11.
ResolvedTotal complaints on record: 4
Complaint ratio: 0.31 per 100 clients
Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.
Firm Details
| Legal Name | VALIC FINANCIAL ADVISORS, INC. |
| CRD Number | #42803 |
| SEC Registered | Yes |
| Registration Date | 1997-10-10 |
| States Registered | TX |
| Assets Under Management | $29.2B |
| Number of Clients | 1,280 |
| Employees | 1647 |
| Compensation Type | commission |
| Last ADV Filing | 46155 |
Other Advisors in HOUSTON
SCOTT & SELBER, INC. CAPITAL MANAGEMENT
HOUSTON, TX · Since 1986
BEACON FINANCIAL ADVISORS LTD
HOUSTON, TX · Since 1993
DOLIVER ADVISORS, L.P.
HOUSTON, TX · Since 1993
Frequently Asked Questions
Is VALIC FINANCIAL ADVISORS, INC. a fiduciary?
No. VALIC FINANCIAL ADVISORS, INC. is not registered as an RIA and is not legally bound by the fiduciary standard.
How does VALIC FINANCIAL ADVISORS, INC. charge clients?
VALIC FINANCIAL ADVISORS, INC. uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does VALIC FINANCIAL ADVISORS, INC. have any complaints?
Yes. VALIC FINANCIAL ADVISORS, INC. has 4 complaint(s) on record. Their complaint ratio is 0.31 per 100 clients (industry average: ~0.15).
How does VALIC FINANCIAL ADVISORS, INC. compare to other advisors in HOUSTON?
VALIC FINANCIAL ADVISORS, INC. has a Red Flag Score of 25/100. There are 235 registered advisory firms in HOUSTON. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46155. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.