Third Brick — HOUSTON, TX
Marketing BrandThird Brick invests in main street America through creative capital placement for full or partial buy-outs, growth initiatives, or special situations. Operating under CAZ INVESTMENTS L.P. (CRD #113931).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Third Brick,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is CAZ INVESTMENTS L.P.. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
CAZ INVESTMENTS L.P.
CRD 113931 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Third Brick — it reflects the regulatory profile of CAZ INVESTMENTS L.P..
What This Means
The firm behind this brand has strong transparency practices. Their regulatory filings show comprehensive disclosure across fees, conflicts, and services.
This places them in the 54th percentile of all scored firms.
This firm's regulatory filings show comprehensive disclosure. The full firm profile has the details.
See full score breakdownRegulatory Context
Regulatory oversight is under CAZ INVESTMENTS L.P.
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 28 firm advisors use this brand
CAZ INVESTMENTS L.P. has 28 total registered advisors. Only 1 operates under the Third Brick brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Third Brick brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.