WEALTHFRONT STRATEGIES LLC
Adviser information for WEALTHFRONT STRATEGIES LLC last updated from Form ADV on October 27th, 2023. 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 | JULY |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.2B |
| 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-111023 |
|---|---|
| SEC ERA File Number | 801-111023 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289148 |
| Legal Entity Identifier | None |
Principal Office
261 HAMILTON AVE.PALO ALTO
CA
United States
Monday - Friday, 7AM - 5PM PACIFIC TIME
Tel: 844-995-8437, Fax: 800-366-1679
Chief Compliance Officer
JONATHAN MATTHEWS
SECRETARY
261 HAMILTON AVE.
PALO ALTO
CA
United States
Tel:
855-695-8437
J***************@**************M
(Full email address available in API data)
Regulatory Contact
BORIS KESSLER
GENERAL COUNSEL
261 HAMILTON AVENUE
PALO ALTO
CA
United States
Tel:
855-695-8437
B***********@**************M
(Full email address available in API data)
Industry Affiliates
| WEALTHFRONT ADVISERS LLC | Other investment adviser, including financial planners |
| WEALTHFRONT BROKERAGE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEALTHFRONT CORPORATION | Domestic Entity | – | SOLE MEMBER | 06/2017 | > 75% |
| Fortunato, David | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2020 | < 5% |
| IMBERMAN, ALAN, DEAN | Individual | – | CHIEF FINANCIAL OFFICER | 02/2020 | < 5% |
| Matthews, Jonathan, Foster | Individual | – | CHIEF COMPLIANCE OFFICER & SECRETARY | 04/2020 | < 5% |
| Kessler, Boris | Individual | – | GENERAL COUNSEL | 09/2023 | < 5% |