B.B. GRAHAM & COMPANY, INC.
Adviser information for B.B. GRAHAM & COMPANY, INC. last updated from Form ADV on March 20th, 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 | California, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 27 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 23 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 77 | $37.2M |
| Non-Discretionary | 234 | $135.5M |
| Total | 311 | $172.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 247 | $58.9M |
| HNW Individuals | 64 | $113.8M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-106968 |
|---|---|
| SEC ERA File Number | 801-106968 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 41533 |
| Legal Entity Identifier | None |
Principal Office
1700 W. KATELLA AVE.ORANGE
CA
United States
Monday - Friday, 6:30AM TO 2:30PM
Tel: (714) 628-5200, Fax: 714-516-3340
Websites
Chief Compliance Officer
JOHN BETTFREUND
1700 W. KATELLA AVE.
ORANGE
CA
United States
Tel:
(714) 628-5200
Fax:
714-516-3340
J**********@***********M
(Full email address available in API data)
Industry Affiliates
| GRAHAM & CO. ADVISORY, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRAHAM, BRUCE EDWIN | Individual | – | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 07/1996 | > 75% |
| CALLEN, DOUGLAS BRAD | Individual | – | SENIOR VICE PRESIDENT | 10/2010 | < 5% |
| GODINEZ, MARIE ELIZABETH | Individual | – | CHIEF OPERATIONS OFFICER | 01/2014 | < 5% |
| BETTFREUND, JOHN WAYNE JR | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2014 | < 5% |