AEQUITAS INVESTMENT ADVISORS, LLC
Adviser information for AEQUITAS INVESTMENT ADVISORS, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,431 | $709.4M |
| Total | 1,431 | $709.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 46 | $28.6M |
| HNW Individuals | 129 | $576.7M |
| 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 | 9 | $104.0M |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110328 |
|---|---|
| SEC ERA File Number | 801-110328 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127625 |
| Legal Entity Identifier | None |
Principal Office
175 DERBY STSUITE 24
HINGHAM
MA
United States
Monday - Friday, 9:00 TO 5:00
Tel: 781-740-1199, Fax: 781-740-1822
Websites
Chief Compliance Officer
NOREEN D. WALSH
MANAGING MEMBER
175 DERBY STREET
SUITE 24
HINGHAM
MA
United States
Tel:
781-740-1199
Fax:
781-740-1822
N**@***************M
(Full email address available in API data)
Regulatory Contact
WARNER A. HENDERSON
MANAGING MEMBER
175 DERBY STREET
SUITE 24
HINGHAM
MA
United States
Tel:
781-740-1199
Fax:
781-740-1822
W**@***************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 |
|---|---|---|---|---|---|
| HENDERSON, WARNER, ARMS | Individual | – | MANAGING MEMBER | 01/2006 | 50-75% |
| WALSH, NOREEN, DILLON | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 01/2007 | 25-50% |
| NASH, TIMOTHY, BRACKETT | Individual | – | PRINCIPAL AND CHIEF PORTFOLIO STRATEGIST | 06/2017 | 10-25% |
| FALLON, MICHELLE, C | Individual | – | MEMBER AND SENIOR FINANCIAL PLANNER | 08/2020 | < 5% |