DIVERSIFIED RESOURCES, LLC
Adviser information for DIVERSIFIED RESOURCES, LLC last updated from Form ADV on March 6th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Rhode Island, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,076 | $209.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1,076 | $209.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 483 | $92.5M |
| HNW Individuals | 101 | $113.3M |
| 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 | <5 | $2.9M |
| Charitable organizations | <5 | $501,717 |
| 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 | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 600 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-108432 |
|---|---|
| SEC ERA File Number | 801-108432 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 31346 |
| Legal Entity Identifier | None |
Principal Office
70 JEFFERSON BLVDSUITE 201
WARWICK
RI
United States
Monday - Friday, 9 A.M - 5 P.M.
Tel: (401) 941-1500, Fax: (401) 941-1511
Chief Compliance Officer
KAREN J. BACON
PRINCIPAL AND CHIEF EXECUTIVE OFFICER
70 JEFFERSON BLVD
SUITE 201
WARWICK
RI
United States
Tel:
(401) 941-1500
Fax:
(401) 941-1511
K****@*********M
(Full email address available in API data)
Regulatory Contact
MELISSA CAPUANO
CLIENT SERVICES MANAGER AND OFFICE MANAGER
70 JEFFERSON BOULEVARD
SUITE 201
WARWICK
RI
United States
Tel:
(401) 941-1500
Fax:
(401) 941-1511
M******@*********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 |
|---|---|---|---|---|---|
| BACON, KAREN JOSEPHINE | Individual | – | MANAGING MEMBER ,PRINCIPAL AND CCO | 01/2015 | > 75% |