Hedge Fund Database

AURORA PRIVATE WEALTH, INC.

Adviser information for AURORA PRIVATE WEALTH, INC. last updated from Form ADV on March 19th, 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 Delaware, United States

Employees

Total Number of Employees 32
Investment Advisory/Research 20
Registered Broker-Dealer Representatives 20
Registered State Investment Advisers 21
Licensed Agents of an Insurance Company 21
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,890 $363.3M
Non-Discretionary 0 $0
Total 1,890 $363.3M

Clients

Type Number RAUM
Individuals 1,825 $233.0M
HNW Individuals 65 $130.2M
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 231.1M
Portfolio Manager 0
Both for Same 231.1M
Portfolio Manager to Program Sponsor
AURORA PRIVATE WEALTH SELECT WRAP FEE PROGRAM AURORA PRIVATE WEALTH, INC.

Identifiers

SEC RIA File Number 801-110498
SEC ERA File Number 801-110498
SEC CIK Numbers 1802132
SEC CRD Numbers 281604
Legal Entity Identifier None

Principal Office

100 ENTERPRISE DRIVE
SUITE 504
ROCKAWAY
NJ
United States
Monday - Friday, 9AM TO 5 PM
Tel: 973-394-0404, Fax: 973-394-0625

Websites

www.mainstprivateadv.com www.moore-wealth.com www.indigowealthmanagement.com www.standardpensionservices.com www.aurorapw.com www.facebook.com/auroraprivatewealth www.linkedin.com/auroraprivatewealth www.briobenefits.com www.wealthplanadv.com www.jameshhunt.com www.kristyberger.com www.harperandhodge.com facebook.com/indigowealthmanagement linkedin.com/in/gladperez facebook.com/briobenefits linkedin.com/company/brio-benefits instagram.com/briobenefits facebook.com/plannedprofessionalmanagement linkedin.com/kristy-berger www.facebook.com/james.h.hunt twitter.com/jameshhuntiv www.linkedin.com/in/jamesherberthuntiv linkedin.com/company/main-street-private-advisors linkedin.com/company/moore-wealth-management-llc www.facebook.com/ericmonroesrassociate www.linkedin.com/in/howard-zodicoff-3a366093/ www.linkedin.com/in/peterdevlin/ www.linkedin.com/in/eric-monroe-216574/ linkedin.com//company/standard-pension-services www.youtube.com/@ericmonroe8680/featured linkedin.com/company/wealthplanadvantage www.linkedin.com/in/john-cartledge-9a006a19/ www.linkedin.com/in/johnhchapel www.linkedin.com/in/tim-padva-20311517/ www.facebook.com/ereavenaurorapw/ www.linkedin.com/in/ed-reaven-cmfc%c2%ae-aif%c2%ae-52811b4 www.linkedin.com/in/timothy-l-smith-b1293443/ linkedin.com/in/scott-j-wallach-crpc

Chief Compliance Officer

TONYA MARIE COUTANT
100 ENTERPRISE DRIVE
SUITE 504
ROCKAWAY
NJ
United States
Tel: 973-394-0404
(Full email address available in API data)

Regulatory Contact

TIMOTHY L SMITH
CEO
100 ENTERPRISE DRIVE
SUITE 504
ROCKAWAY
NJ
United States
Tel: 973-394-0404
(Full email address available in API data)

Industry Affiliates

APW CAPITAL, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
AURORA INSURANCE SERVICES, INC. Insurance company or agency
COMPREHENSIVE CAPITAL MANAGEMENT, INC. Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SMITH, TIMOTHY, LIAM Individual – PRESIDENT/CEO 08/2015 > 75%
JENNINGS, CHRISTINA, LAUREN Individual – SHAREHOLDER 01/2000 10-25%
JENNINGS, SEAN, MICHAEL Individual – SHAREHOLDER 01/2000 < 5%
COUTANT, TONYA, MARIE Individual – CHIEF COMPLIANCE OFFICER 06/2021 < 5%

No. Employees, Historic

40200201920202021202220232024202535 on 4/4/201935 on 4/15/201935 on 4/18/201935 on 4/18/201935 on 4/24/201935 on 5/2/201935 on 5/8/201935 on 5/15/201935 on 5/17/201935 on 5/17/201935 on 9/24/201935 on 10/24/201935 on 11/22/201935 on 11/22/201935 on 1/24/202035 on 2/14/202030 on 3/27/202030 on 6/23/202029 on 3/30/202129 on 3/31/202129 on 6/2/202129 on 6/9/202123 on 3/25/202223 on 4/7/202223 on 3/24/202323 on 9/28/202324 on 9/28/202332 on 3/19/2024

RAUM, Historic

700M350M02019202020212022202320242025426639604 on 4/4/2019426639604 on 4/15/2019426639604 on 4/18/2019426639604 on 4/18/2019426639604 on 4/24/2019426639604 on 5/2/2019426639604 on 5/8/2019426639604 on 5/15/2019426639604 on 5/17/2019426639604 on 5/17/2019426639604 on 9/24/2019426639604 on 10/24/2019426639604 on 11/22/2019426639604 on 11/22/2019426639604 on 1/24/2020426639604 on 2/14/2020650145314 on 3/27/2020650145314 on 6/23/2020657270737 on 3/30/2021657270737 on 3/31/2021657270737 on 6/2/2021657270737 on 6/9/2021602968401 on 3/25/2022602968401 on 4/7/2022315263209 on 3/24/2023315263209 on 9/28/2023315263209 on 9/28/2023363261922 on 3/19/2024

No. Clients, Historic

3,0001,500020192020202120222023202420252068 on 4/4/20192068 on 4/15/20192068 on 4/18/20192068 on 4/18/20192068 on 4/24/20192068 on 5/2/20192068 on 5/8/20192068 on 5/15/20192068 on 5/17/20192068 on 5/17/20192068 on 9/24/20192068 on 10/24/20192068 on 11/22/20192068 on 11/22/20192068 on 1/24/20202068 on 2/14/20202728 on 3/27/20202728 on 6/23/20202014 on 3/30/20212014 on 3/31/20212014 on 6/2/20212014 on 6/9/20212348 on 3/25/20222348 on 4/7/20221813 on 3/24/20231813 on 9/28/20231813 on 9/28/20231890 on 3/19/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 559 3K –
ALPHABET INC CAP STK CL C 2K 9K –
ALPHABET INC CAP STK CL A 779 4K –
ALPS ETF TR ALERIAN MLP 1K 29K –
AMAZON COM INC COM 3K 16K –
AMERICAN CENTY ETF TR US QUALITY GROW 460 5K –
AMERICAN EXPRESS CO COM 1K 6K –
AMERIPRISE FINL INC COM 466 1K –
APPLE INC COM 7K 35K –
ARES CAPITAL CORP COM 570 27K –
AT&T INC COM 321 17K –
BANK AMERICA CORP COM 1K 33K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 3K 8K –
BLACKROCK ENHANCED EQUITY DI COM 173 21K –
BLACKROCK SCIENCE & TECHNOLO SHS 333 9K –
BROADCOM INC COM 596 371 –
CITIGROUP INC COM NEW 427 7K –
COCA COLA CO COM 376 6K –
COLGATE PALMOLIVE CO COM 1K 13K –
COLUMBIA ETF TR II INDIA CONSMR ETF 212 3K –
COMCAST CORP NEW CL A 363 9K –
CONSTELLATION ENERGY CORP COM 335 2K –
COSTCO WHSL CORP NEW COM 621 731 –
DECKERS OUTDOOR CORP COM 315 325 –
DIREXION SHS ETF TR NAS100 EQL WGT 297 3K –
ELEVANCE HEALTH INC COM 241 445 –
ELI LILLY & CO COM 733 810 –
ENERGY TRANSFER L P COM UT LTD PTN 3K 174K –
EXXON MOBIL CORP COM 997 9K –
FEDEX CORP COM 280 934 –
FIRST TR ENHANCED EQUITY INC COM 435 22K –
FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 345 7K –
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 291 17K –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 3K 75K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 988 18K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 687 14K –
FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 289 7K –
FIRST TR EXCHANGE-TRADED FD FT VEST RIS 242 10K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 2K 52K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 773 17K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 388 9K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 364 14K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S 286 8K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 274 6K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 273 10K –
FIRST TR EXCHNG TRADED FD VI INCOME OPPRTNTES 272 13K –
FIRST TR EXCHNG TRADED FD VI FT VEST UQ EQT 249 6K –
FIRST TR HIGH YIELD OPPRT 20 COM 1K 72K –
FIRST TR NASDAQ 100 TECH IND SHS 882 4K –
FS KKR CAP CORP COM 282 14K –
GABELLI DIVID & INCOME TR COM 283 12K –
GE AEROSPACE COM NEW 235 1K –
GENERAL DYNAMICS CORP COM 246 849 –
GLOBAL X FDS GLB X MLP ENRG I 906 18K –
GLOBAL X FDS NASDAQ 100 COVER 755 43K –
GLOBAL X FDS RBTCS ARTFL INTE 219 7K –
GOLDMAN SACHS ETF TR S&P 500 CORE PRE 1K 29K –
GRANITESHARES ETF TR HIPS US HIGH INC 664 52K –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 1K 23K –
HONEYWELL INTL INC COM 367 2K –
INTEL CORP COM 244 8K –
INTERNATIONAL BUSINESS MACHS COM 267 2K –
INVESCO EXCH TRADED FD TR II S&P ULTRA DIVIDE 301 7K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 250 1K –
INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 2K 36K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 325 9K –
INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 266 3K –
INVESCO QQQ TR UNIT SER 1 6K 12K –
IONQ INC COM 71 10K –
ISHARES TR IBOXX INV CP ETF 2K 20K –
ISHARES TR U.S. TECH ETF 1K 9K –
ISHARES TR CORE S&P500 ETF 880 2K –
ISHARES TR CORE DIV GRWTH 826 14K –
ISHARES TR S&P 500 GRWT ETF 710 8K –
ISHARES TR MSCI KLD400 SOC 591 6K –
ISHARES TR CORE S&P MCP ETF 542 9K –
ISHARES TR 20 YR TR BD ETF 493 5K –
ISHARES TR MSCI EAFE ETF 449 6K –
ISHARES TR S&P 500 VAL ETF 434 2K –
ISHARES TR RUSSELL 2000 ETF 335 2K –
ISHARES TR MORNINGSTR US EQ 278 4K –
ISHARES TR RUS 1000 GRW ETF 269 738 –
ISHARES TR US HLTHCARE ETF 223 4K –
ISHARES TR US AER DEF ETF 222 2K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2K 36K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 292 5K –
JOHNSON & JOHNSON COM 625 4K –
JPMORGAN CHASE & CO. COM 997 5K –
LINDE PLC SHS 505 1K –
LISTED FD TR ROUNDHILL BALL 249 19K –
MCDONALDS CORP COM 1K 4K –
MERCK & CO INC COM 1K 11K –
META PLATFORMS INC CL A 3K 5K –
MICROSOFT CORP COM 2K 5K –
NETFLIX INC COM 620 919 –
NEWMARK GROUP INC CL A 107 10K –
NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 324 12K –
NORFOLK SOUTHN CORP COM 840 4K –
NOVO-NORDISK A S ADR 293 2K –
NVIDIA CORPORATION COM 3K 23K –
PACER FDS TR US CASH COWS 100 671 12K –
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 151 10K –
PROCTER AND GAMBLE CO COM 1K 8K –
PROSHARES TR PSHS ULT S&P 500 458 6K –
PUBLIC SVC ENTERPRISE GRP IN COM 628 9K –
ROCKWELL AUTOMATION INC COM 316 1K –
RTX CORPORATION COM 238 2K –
S&P GLOBAL INC COM 223 500 –
SALESFORCE INC COM 316 1K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 2K 25K –
SCHWAB STRATEGIC TR US LRG CAP ETF 1K 18K –
SCHWAB STRATEGIC TR US LCAP GR ETF 803 8K –
SCHWAB STRATEGIC TR US MID-CAP ETF 482 6K –
SCHWAB STRATEGIC TR US SML CAP ETF 338 7K –
SELECT SECTOR SPDR TR ENERGY 959 11K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 541 4K –
SELECT SECTOR SPDR TR FINANCIAL 374 9K –
SELECT SECTOR SPDR TR TECHNOLOGY 355 2K –
SELECT SECTOR SPDR TR SBI CONS STPLS 205 3K –
SOUTHERN COPPER CORP COM 401 4K –
SPDR S&P 500 ETF TR TR UNIT 5K 9K –
SPDR SER TR BBG CONV SEC ETF 239 3K –
TCW ETF TRUST ARTIFICIAL INTEL 604 22K –
TESLA INC COM 357 2K –
TWO RDS SHARED TR LEASERSHS ALPHAF 454 12K –
TWO RDS SHARED TR LDRSHS ALPFACT 417 11K –
TWO RDS SHARED TR LEADERSHARES EQT 323 10K –
TWO RDS SHARED TR LEADERSHS ACTIVI 230 7K –
UNILEVER PLC SPON ADR NEW 249 5K –
VANGUARD INDEX FDS S&P 500 ETF SHS 921 2K –
VANGUARD INDEX FDS VALUE ETF 235 1K –
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 256 3K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 322 2K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 258 2K –
VANGUARD WORLD FD HEALTH CAR ETF 386 1K –
VANGUARD WORLD FD MEGA GRWTH IND 362 1K –
VERIZON COMMUNICATIONS INC COM 489 12K –
VISA INC COM CL A 284 1K –
WALMART INC COM 238 4K –
WILLIAMS COS INC COM 222 5K –
WISDOMTREE TR US MIDCAP FUND 623 11K –
WP CAREY INC COM 639 12K –