FULLEN FINANCIAL GROUP, INC.
Adviser information for FULLEN FINANCIAL GROUP, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 789 | $282.0M |
| Non-Discretionary | 0 | $0 |
| Total | 789 | $282.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 103 | $25.8M |
| HNW Individuals | 90 | $249.2M |
| 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 | <5 | $3.8M |
| Charitable organizations | <5 | $1.1M |
| 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 | <5 | $2.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110768 |
|---|---|
| SEC ERA File Number | 801-110768 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135065 |
| Legal Entity Identifier | None |
Principal Office
3720 N. HIGH STREETCOLUMBUS
OH
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 614-372-5430, Fax: 614-987-8517
Chief Compliance Officer
MILTON E. FULLEN
PRESIDENT AND CHIEF COMPLIANCE OFFICER
3720 N HIGH STREET
COLUMBUS
OH
United States
Tel:
(614) 946-6052
Fax:
(614) 987-8517
M***@******************M
(Full email address available in API data)
Regulatory Contact
PAULA L MILLER
CHIEF ADMINISTRATIVE OFFICER
3720 N. HIGH STREET
COLUMBUS
OH
United States
Tel:
614-787-1034
Fax:
614-987-8517
P****@******************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 |
|---|---|---|---|---|---|
| FULLEN, MILTON, E. | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 02/2005 | 50-75% |
| MILLER, PAULA L | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 01/2018 | 10-25% |
| FIX, KEVIN, THOMAS | Individual | – | SENIOR FINANCIAL ADVISOR | 01/2019 | 25-50% |