BROWNLIE & BRADEN ADVISORS, LLC
Adviser information for BROWNLIE & BRADEN 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 | Texas, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 28 | $329.2M |
| Non-Discretionary | 0 | $0 |
| Total | 28 | $329.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 18 | $89.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 10 | $239.9M |
| 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 | 16 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)PROVIDES ANALYSIS OF INVESTMENT OPPORTUNITIES AND PRIVATE EQUITY EVALUATION/DUE DILIGENCE |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissionsPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-110796 |
|---|---|
| SEC ERA File Number | 801-110796 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288879 |
| Legal Entity Identifier | None |
Principal Office
2820 ROSS TOWER500 NORTH AKARD STREET
DALLAS
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 214-219-4650, Fax: 214-219-4654
Chief Compliance Officer
FREDERICK W. WAHL, JR.
2820 ROSS TOWER
500 NORTH AKARD STREET
DALLAS
TX
United States
Tel:
214-219-4650
Fax:
214-219-4654
F****@*****************M
(Full email address available in API data)
Regulatory Contact
ELIZABETH HATFIELD
VICE PRESIDENT
2820 ROSS TOWER
500 NORTH AKARD STREET
DALLAS
TX
United States
Tel:
214-219-4650
Fax:
214-219-4654
E********@*****************M
(Full email address available in API data)
Industry Affiliates
| BBA-CGFIV GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-COINVEST GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-DOFV GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-FCCIII GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-IVYII GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-MPIV GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BBA-SLXII GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| COTTON CREEK CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COTTON CREEK INVESTMENTS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GLENWICK MANAGEMENT COMPANY, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| IVANHOE MANAGEMENT COMPANY, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| RAZ PROPERTY INVESTMENTS GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BBA-CGFIV, L.P. | SPECIAL PURPOSE VEHICLE | $19.6M | $1.0M | 16 |
| BBA-COINVEST, L.P. | Private Equity Fund | $27.2M | $1.0M | 19 |
| BBA-DOFV, L.P. | SPECIAL PURPOSE VEHICLE | $19.3M | $1.0M | 15 |
| BBA-FCCIII, L.P | SPECIAL PURPOSE VEHICLE | $22.2M | $1.0M | 16 |
| BBA-IVYII, L.P. | SPECIAL PURPOSE VEHICLE | $20.8M | $1.0M | 15 |
| BBA-MPIV, L.P. | SPECIAL PURPOSE VEHICLE | $10.8M | $1.0M | 13 |
| BBA-SLXII, L.P | SPECIAL PURPOSE VEHICLE | $62.4M | $1.0M | 21 |
| BKB CAPITAL, LTD. | Private Equity Fund | $11.1M | $0.0M | 2 |
| COTTON CREEK INVESTMENT COMPANY, LTD. | Private Equity Fund | $41.2M | $0.0M | 4 |
| RAZ PROPERTY INVESTMENTS, LTD. | Private Equity Fund | $5.3M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 12/2016 | > 75% |
| WAHL, FREDERICK, W. | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2017 | < 5% |
| BROWNLIE, SMITH, ASHER | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2017 | < 5% |
| BRADEN, JAMES, EDWARD | Individual | – | PRESIDENT | 06/2017 | < 5% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| FOCUS FINANCIAL PARTNERS INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MEMBER | 07/2018 | > 75% |
| CAMERON, BLAKE, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 09/2018 | < 5% |
| FERDINAND FFP ACQUISITION, LLC | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS A COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS B COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | Domestic Entity | FERDINAND FFP ACQUISITION, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP PARENT, INC. | Domestic Entity | FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FERDINAND FFP PARENT, INC. | SHAREHOLDER | 08/2023 | > 75% |
| CD&R FERDINAND HOLDINGS, L.P. | Domestic Entity | FERDINAND FFP ULTIMATE HOLDINGS, LP | PARTNER | 08/2023 | 50-75% |
| CD&R FERDINAND CO-INVESTOR, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 25-50% |
| CLAYTON, DUBILIER & RICE FUND XII, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 50-75% |