Hedge Fund Database

EXECUTIVE WEALTH GROUP, LLC

Adviser information for EXECUTIVE WEALTH GROUP, LLC last updated from Form ADV on March 7th, 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 Delaware, United States

Employees

Total Number of Employees 2
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 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 220 $394.5M
Non-Discretionary 0 $0
Total 220 $394.5M

Clients

Type Number RAUM
Individuals 16 $11.6M
HNW Individuals 70 $382.8M
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 businesses
Compensation % of AUM

Identifiers

SEC RIA File Number 801-108940
SEC ERA File Number 801-108940
SEC CIK Numbers 2014165
SEC CRD Numbers 283103
Legal Entity Identifier None

Principal Office

3435 CARILLON POINT
KIRKLAND
WA
United States
Monday - Friday, 6:00 AM- 4:00 PM
Tel: 425-448-4988, Fax: None

Chief Compliance Officer

SAMUEL C. MAXWELL
PRINCIPAL
3435 CARILLON POINT
KIRKLAND
WA
United States
Tel: 425-448-4988
(Full email address available in API data)

Regulatory Contact

SHERRY NELSON
ASSOCIATE COMPLIANCE
3435 CARILLON POINT
KIRKLAND
WA
United States
Tel: 425-448-4988
(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
MAXWELL, SAMUEL, CHAPMAN Individual – CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER 04/2017 > 75%

No. Employees, Historic

10502020202120222023202420252 on 2/24/20202 on 5/26/20202 on 6/30/20202 on 2/23/20212 on 2/24/20212 on 6/1/20212 on 1/18/20222 on 3/15/20232 on 1/30/20242 on 3/7/2024

RAUM, Historic

500M250M0202020212022202320242025353027792 on 2/24/2020353027792 on 5/26/2020353027792 on 6/30/2020391856299 on 2/23/2021391856299 on 2/24/2021391856299 on 6/1/2021420337336 on 1/18/2022348509483 on 3/15/2023394451722 on 1/30/2024394451722 on 3/7/2024

No. Clients, Historic

9045020202021202220232024202589 on 2/24/202089 on 5/26/202089 on 6/30/202089 on 2/23/202189 on 2/24/202189 on 6/1/202187 on 1/18/202285 on 3/15/202386 on 1/30/202486 on 3/7/2024

Holdings

From latest 13F, filed April 11th, 2024 for period ending March 31st, 2024
Name Class Value $USD # Shares Private Fund
ADIENT PLC ORD SHS 4M 109K –
ALASKA AIR GROUP INC COM 2M 42K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 346K 5K –
ALTRIA GROUP INC COM 2M 57K –
AMAZON COM INC COM 5M 31K –
AMEREN CORP COM 969K 14K –
AMGEN INC COM 2M 6K –
APPLE INC COM 5M 28K –
AT&T INC COM 218K 13K –
BLOCK INC CL A 344K 5K –
BOEING CO COM 56M 276K –
COSTCO WHSL CORP NEW COM 2M 3K –
CUE HEALTH INC COM 10K 42K –
FORD MTR CO DEL COM 181K 15K –
INTEL CORP COM 762K 18K –
INTERNATIONAL BUSINESS MACHS COM 280K 2K –
INVESCO QQQ TR UNIT SER 1 2M 5K –
ISHARES TR CHINA LG-CAP ETF 4M 166K –
ISHARES TR CORE MSCI EURO 605K 11K –
ISHARES TR GLOBAL TECH ETF 21M 285K –
ISHARES TR MSCI EAFE ETF 5M 60K –
ISHARES TR NATIONAL MUN ETF 3M 26K –
META PLATFORMS INC CL A 1M 3K –
MICROSOFT CORP COM 32M 77K –
MORGAN STANLEY COM NEW 1M 15K –
NVIDIA CORPORATION COM 212K 250 –
PFIZER INC COM 277K 10K –
PHILIP MORRIS INTL INC COM 788K 9K –
PROSHARES TR PSHS ULT S&P 500 2M 25K –
PROSHARES TR SHRT 20+YR TRE 1M 47K –
ROYAL BK CDA COM 3M 30K –
SPDR DOW JONES INDL AVERAGE UT SER 1 742K 2K –
SPDR INDEX SHS FDS S&P CHINA ETF 9M 141K –
STARBUCKS CORP COM 7M 78K –
UNITED PARCEL SERVICE INC CL B 389K 3K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 11M 155K –
VANGUARD INDEX FDS EXTEND MKT ETF 11M 65K –
VANGUARD INDEX FDS TOTAL STK MKT 46M 185K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 10M 247K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 24M 373K –
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 2M 33K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 10M 123K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 3M 45K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 6K –
VANGUARD STAR FDS VG TL INTL STK F 3M 47K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 31M 640K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 34M 292K –
VANGUARD WORLD FD COMM SRVC ETF 1M 10K –
VANGUARD WORLD FD CONSUM DIS ETF 9M 29K –
VANGUARD WORLD FD FINANCIALS ETF 32M 322K –
VANGUARD WORLD FD HEALTH CAR ETF 38M 144K –
VANGUARD WORLD FD INF TECH ETF 28M 54K –
VANGUARD WORLD FD MATERIALS ETF 691K 4K –
VERIZON COMMUNICATIONS INC COM 389K 9K –
VISA INC COM CL A 8M 29K –
WALMART INC COM 626K 8K –
WISDOMTREE TR US HIGH DIVIDEND 2M 18K –