Hedge Fund Database

PENOBSCOT FINANCIAL ADVISORS

PENOBSCOT WEALTH MANAGEMENT Legal Name

Adviser information for PENOBSCOT FINANCIAL ADVISORS last updated from Form ADV on March 12th, 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 Maine, United States

Employees

Total Number of Employees 11
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,105 $334.3M
Non-Discretionary 155 $70.6M
Total 2,260 $405.0M

Clients

Type Number RAUM
Individuals 669 $172.8M
HNW Individuals 127 $230.3M
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 $832,826
Charitable organizations <5 $975,071
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 92
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 255.8M
Portfolio Manager to Program Sponsor
PENOBSCOT FINANCIAL ADVISORS WRAP FEE PROGRAM PENOBSCOT FINANCIAL ADVISORS

Identifiers

SEC RIA File Number 801-108988
SEC ERA File Number 801-108988
SEC CIK Numbers 1875768
SEC CRD Numbers 286211
Legal Entity Identifier None

Principal Office

ONE MONUMENT SQUARE
SUITE 501
PORTLAND
ME
United States
Monday - Friday, BY APPOINTMENT
Tel: (207) 990-1901, Fax: 877-369-2947

Websites

www.facebook.com/penobscotfinancialadvisors/ www.penobscotfa.com www.youtube.com/channel/ucmm5ik3i2vujjqircfjyzza anchor.fm/penobscotfa www.linkedin.com/company/penobscot-financial-advisors/

Chief Compliance Officer

HANNAH TACKETT
CHIEF OPERATING OFFICER
ONE MONUMENT SQUARE
SUITE 501
PORTLAND
ME
United States
Tel: (207) 990-1901
Fax: (877) 369-2947
(Full email address available in API data)

Regulatory Contact

CRAIG JONCAS
CHIEF EXECUTIVE OFFICER
ONE MONUMENT SQUARE
SUITE 501
PORTLAND
ME
United States
Tel: 207-541-9455
Fax: 877-369-2947
(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
BRADLEY, JAMES, EDGAR Individual – CHIEF INVESTMENT OFFICER 08/2020 50-75%
JONCAS, CRAIG, ARTHUR Individual – CHIEF EXECUTIVE OFFICER 08/2020 25-50%
TACKETT, HANNAH, MARIE Individual – CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER 08/2020 < 5%

No. Employees, Historic

201002020202120222023202420257 on 3/12/20207 on 6/10/20207 on 6/15/20207 on 8/31/20208 on 3/11/20218 on 7/15/20218 on 9/24/20218 on 2/9/20228 on 11/1/20228 on 11/18/20228 on 3/6/20238 on 3/6/202311 on 6/22/202311 on 8/24/202311 on 3/12/2024

RAUM, Historic

500M250M0202020212022202320242025173710840 on 3/12/2020173710840 on 6/10/2020173710840 on 6/15/2020173710840 on 8/31/2020229212942 on 3/11/2021229212942 on 7/15/2021229212942 on 9/24/2021281657713 on 2/9/2022281657713 on 11/1/2022281657713 on 11/18/2022330567172 on 3/6/2023330567172 on 3/6/2023330567172 on 6/22/2023330567172 on 8/24/2023404953462 on 3/12/2024

No. Clients, Historic

8004000202020212022202320242025580 on 3/12/2020580 on 6/10/2020580 on 6/15/2020580 on 8/31/2020637 on 3/11/2021637 on 7/15/2021637 on 9/24/2021689 on 2/9/2022689 on 11/1/2022689 on 11/18/2022776 on 3/6/2023776 on 3/6/2023776 on 6/22/2023776 on 8/24/2023796 on 3/12/2024

Holdings

From latest 13F, filed July 29th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 234 1K 0
AMAZON COM INC COM 535 3K 0
APPLE INC COM 3K 12K 0
COSTCO WHSL CORP NEW COM 296 334 0
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 2K 73K 0
DIMENSIONAL ETF TRUST US EQUITY ETF 391 7K 0
DIMENSIONAL ETF TRUST GLOBAL CORE PLUS 5K 86K 0
DIMENSIONAL ETF TRUST US SUSTAINABILTY 1K 32K 0
DIMENSIONAL ETF TRUST INTL CORE EQUITY 5K 177K 0
FIDELITY COVINGTON TRUST MSCI CONSM DIS 3K 32K 0
FIDELITY COVINGTON TRUST MSCI INDL INDX 855 13K 0
FIDELITY COVINGTON TRUST MSCI RL EST ETF 273 11K 0
FIRST SOLAR INC COM 293 1K 0
IDEXX LABS INC COM 2K 4K 0
INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 600 16K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 318 2K 0
INVESCO EXCHANGE TRADED FD T S&P MDCP QUALITY 4K 37K 0
ISHARES TR RUS 1000 ETF 232 765 0
ISHARES TR RUSSELL 2000 ETF 239 1K 0
ISHARES TR U.S. TECH ETF 465 3K 0
ISHARES TR CORE S&P SCP ETF 347 3K 0
ISHARES TR US CONSM STAPLES 3K 44K 0
ISHARES TR DOW JONES US ETF 311 2K 0
ISHARES TR GL CLEAN ENE ETF 2K 127K 0
ISHARES TR JPMORGAN USD EMG 1K 12K 0
ISHARES TR CORE MSCI TOTAL 3K 47K 0
ISHARES INC MSCI JPN ETF NEW 2K 23K 0
ISHARES TR 0-5YR HI YL CP 653 15K 0
ISHARES TR CORE MSCI EURO 2K 28K 0
ISHARES TR CORE INTL AGGR 9K 174K 0
JPMORGAN CHASE & CO. COM 206 1K 0
MERCK & CO INC COM 319 3K 0
MICROSOFT CORP COM 1K 3K 0
MICRON TECHNOLOGY INC COM 249 2K 0
NVIDIA CORPORATION COM 297 2K 0
NUSHARES ETF TR NUVEEN ESG EMRGN 204 7K 0
PACER FDS TR PACER US SMALL 2K 37K 0
PACER FDS TR US CASH COWS 100 3K 65K 0
PEPSICO INC COM 201 1K 0
PROCTER AND GAMBLE CO COM 453 3K 0
SPDR GOLD TR GOLD SHS 328 1K 0
SPDR INDEX SHS FDS PORTFOLIO EMG MK 564 15K 0
SPDR SER TR PRTFLO S&P500 VL 5K 93K 0
SPDR SER TR PORTFOLI S&P1500 932 14K 0
SPDR SER TR PORTFOLIO S&P500 38K 581K 0
SPDR SER TR S&P KENSHO NEW 2K 48K 0
SPDR SER TR PORTFOLIO S&P600 1K 31K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 269 2K 0
SELECT SECTOR SPDR TR SBI CONS DISCR 288 2K 0
SELECT SECTOR SPDR TR FINANCIAL 756 18K 0
SELECT SECTOR SPDR TR TECHNOLOGY 605 3K 0
SELECT SECTOR SPDR TR SBI INT-UTILS 697 10K 0
SMITH & WESSON BRANDS INC COM 164 12K 0
THERMO FISHER SCIENTIFIC INC COM 223 412 0
UNITEDHEALTH GROUP INC COM 597 1K 0
VANGUARD STAR FDS VG TL INTL STK F 537 9K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 2K 26K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 28K 554K 0
VANGUARD WHITEHALL FDS INTL DVD ETF 208 3K 0
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 277 6K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 6K 140K 0
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 214 3K 0
VANGUARD WORLD FD FINANCIALS ETF 3K 27K 0
VANGUARD WORLD FD HEALTH CAR ETF 3K 12K 0
VANGUARD WORLD FD INF TECH ETF 8K 13K 0
VANGUARD WORLD FD COMM SRVC ETF 1K 10K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 326 6K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 2K 5K 0
VANGUARD INDEX FDS REAL ESTATE ETF 1K 14K 0
VANGUARD INDEX FDS MID CAP ETF 280 1K 0
VANGUARD INDEX FDS SMALL CP ETF 522 2K 0
VANGUARD INDEX FDS TOTAL STK MKT 539 2K 0
EATON CORP PLC SHS 470 1K 0