ETON ADVISORS
ETON ADVISORS GROUP, LLC Legal Name
Adviser information for ETON ADVISORS 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 | Delaware, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 140 | $1.3B |
| Non-Discretionary | 13 | $684.0M |
| Total | 153 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $30.8M |
| HNW Individuals | 76 | $642.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $145.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $37.3M |
| 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 | $892.7M |
| Other | 17 | $213.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersFAMILY OFFICE SERVICES; CREDIT MANAGEMENT SOLUTIONS AND INSURANCE SOLUTIONS |
|---|---|
| Compensation | % of AUMFixed feesPERCENTAGE OF ASSETS UNDER ADVISEMENT |
| Other Business Activities | Commodity pool operator or commodity trading advisorCREDIT MANAGEMENT AND INSURANCE SOLUTIONS |
Identifiers
| SEC RIA File Number | 801-111042 |
|---|---|
| SEC ERA File Number | 801-111042 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289395 |
| Legal Entity Identifier | None |
Principal Office
5915 FARRINGTON ROAD,SUITE 202
CHAPEL HILL
NC
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 919-442-1550, Fax: 919-442-1530
Chief Compliance Officer
SARAH C. SCULLEY
CHIEF OPERATING OFFICER
5915 FARRINGTON ROAD
SUITE 202
CHAPEL HILL
NC
United States
Tel:
919-442-1540
Fax:
919-442-1530
S************@***************M
(Full email address available in API data)
Regulatory Contact
TERESA ERIKSSON
FOUNDING PARTNER
5915 FARRINGTON ROAD
SUITE 202
CHAPEL HILL
NC
United States
Tel:
919-442-1550
Fax:
919-442-1530
T**************@***************M
(Full email address available in API data)
Industry Affiliates
| FOCUS RISK SOLUTIONS | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FARRINGTON DIVERSIFIED STRATEGIES FUND A (QP), L.P. | Hedge Fund | $9.1M | $0.1M | 24 |
| FARRINGTON DIVERSIFIED STRATEGIES FUND B (QP), L.P. | Hedge Fund | $10.6M | $0.1M | 19 |
| FARRINGTON EQUITY OPPORTUNITIES FUND A (QP), L.P. | Hedge Fund | $32.6M | $0.1M | 29 |
| FARRINGTON INCOME STRATEGIES FUND QP LP | Hedge Fund | $56.5M | $0.1M | 51 |
| FARRINGTON INTERNATIONAL EQUITY FUND QP LP | Hedge Fund | $36.4M | $0.1M | 38 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 09/2017 | > 75% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| MALLERNEE, ROBERT, EDWARD | Individual | – | FOUNDING PARTNER | 07/2017 | < 5% |
| PARHAM, WILLIAM, JACKSON | Individual | – | CHIEF INVESTMENT OFFICER | 07/2017 | < 5% |
| ERIKSSON, TERESA | Individual | – | FOUNDING PARTNER | 07/2017 | < 5% |
| FOCUS FINANCIAL PARTNERS INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MEMBER | 07/2018 | > 75% |
| SCULLEY, SARAH, CATHERINE | Individual | – | CCO & COO | 05/2020 | < 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% |