BACKER
PRINCIPLY, INC. Legal Name
Adviser information for BACKER last updated from Form ADV on February 2nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 12,416 | $38.6M |
| Total | 12,416 | $38.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 12,416 | $38.6M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | ADVICE ON INVESTING IN 529 PLANS |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-106798 |
|---|---|
| SEC ERA File Number | 801-106798 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281813 |
| Legal Entity Identifier | None |
Principal Office
474 BRYANT STSAN FRANCISCO
CA
United States
Monday - Friday, 9:30 A.M. TO 6:30 P.M. PACIFIC TIME
Tel: +1 (844) SAVE-529, Fax: None
Chief Compliance Officer
JORDAN LEE
CHIEF EXECUTIVE OFFICER
474 BRYANT ST
SAN FRANCISCO
CA
United States
Tel:
+1 (844) 728-3529
J*****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEE, JORDAN, GABRIEL ECKTON | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, SHAREHOLDER (COMMON) | 03/2015 | 25-50% |
| WH2-P LLC | Domestic Entity | – | SHAREHOLDER (PREFERRED) | 12/2023 | 50-75% |
| WNDRCO HOLDINGS II LP | Domestic Entity | WH2-P LLC | OWNER AND MANAGING MEMBER | 12/2023 | 50-75% |