NAVIGATION GROUP LLC
Adviser information for NAVIGATION GROUP LLC last updated from Form ADV on March 22nd, 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 907 | $644.2M |
| Non-Discretionary | 0 | $0 |
| Total | 907 | $644.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 173 | $116.4M |
| HNW Individuals | 128 | $513.8M |
| 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 | 3 | $12.5M |
| 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 | 4 | $1.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110408 |
|---|---|
| SEC ERA File Number | 801-110408 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130982 |
| Legal Entity Identifier | None |
Principal Office
3 LAGOON DRIVESUITE 110
REDWOOD SHORES
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 650-595-1700, Fax: 650-595-1767
Chief Compliance Officer
KAREN FRANCO
3 LAGOON DRIVE
SUITE 110
REDWOOD SHORES
CA
United States
Tel:
650-595-1700
Fax:
650-595-1767
K****@******************M
(Full email address available in API data)
Regulatory Contact
LEANN YAZZOLINO
SR. CLIENT SERVICE SPECIALIST
3 LAGOON DRIVE
SUITE 110
REDWOOD SHORES
CA
United States
Tel:
650-610-1903
Fax:
650-595-1767
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 |
|---|---|---|---|---|---|
| DAVIS, ERIK, SHANNON | Individual | – | MANAGING MEMBER | 04/1999 | 25-50% |
| PANACCIONE, CARLO, ANTHONY | Individual | – | MANAGING MEMBER | 04/1999 | 25-50% |
| FRANCO, KAREN, KELLER | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |