BW & ASSOCIATES, INC.
BONNIE WUSZ & ASSOCIATES, INC. Legal Name
Adviser information for BW & ASSOCIATES, INC. last updated from Form ADV on March 28th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1,237 | $523.4M |
| Total | 1,237 | $523.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 212 | $76.4M |
| HNW Individuals | 172 | $447.0M |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-108260 |
|---|---|
| SEC ERA File Number | 801-108260 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116471 |
| Legal Entity Identifier | None |
Principal Office
3111 N. TUSTIN STREETSUITE 215
ORANGE
CA
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 714-998-2077, Fax: 714-998-3573
Websites
Chief Compliance Officer
TINA L. MITCHELL
1350 COLUMBIA STREET
SUITE 300
SAN DIEGO
CA
United States
Tel:
619-997-4565
Fax:
619-278-0050
T************@**********M
(Full email address available in API data)
Regulatory Contact
LAUREL HACKETT
FINANCIAL ADVISOR
3111 N. TUSTIN STREET
SUITE 215
ORANGE
CA
United States
Tel:
(714) 998-2077
Fax:
(714) 998-3573
L*****@*********************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 |
|---|---|---|---|---|---|
| WUSZ FAMILY TRUST DTD 6/4/1991 | Domestic Entity | – | OWNER | 06/1991 | > 75% |
| WUSZ, BONNIE, SUE | Individual | WUSZ FAMILY TRUST DTD 6/4/1991 | TRUSTEE | 06/1991 | 50-75% |
| WUSZ, TIMOTHY, NMN | Individual | WUSZ FAMILY TRUST DTD 6/4/1991 | TRUSTEE | 06/1991 | 50-75% |
| WUSZ, BONNIE, SUE | Individual | – | PRESIDENT (SECRETARY AND CFO) | 06/1991 | < 5% |
| WUSZ, TIMOTHY, NMN | Individual | – | VICE PRESIDENT | 06/1991 | < 5% |
| HACKETT, LAUREL, ANNE | Individual | – | FINANCIAL ADVISOR | 01/2020 | < 5% |
| MITCHELL, TINA, LOUISE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |