PAINTER, SMITH AND AMBERG INC.
Adviser information for PAINTER, SMITH AND AMBERG INC. last updated from Form ADV on June 12th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $885,922 |
| Non-Discretionary | 427 | $114.8M |
| Total | 437 | $115.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 389 | $75.0M |
| HNW Individuals | 26 | $30.3M |
| 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 | 15 | $8.0M |
| Charitable organizations | 3 | $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 | 4 | $1.3M |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112748 |
|---|---|
| SEC ERA File Number | 801-112748 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 10865 |
| Legal Entity Identifier | None |
Principal Office
1200 CALIFORNIA STREETSUITE 220
REDLANDS
CA
United States
Monday - Friday, 6:30 A.M. - 4:00 P.M.
Tel: 909-557-2800, Fax: 909-557-1778
Chief Compliance Officer
DAVID SMITH
1200 CALIFORNIA STREET
SUITE 220
REDLANDS
CA
United States
Tel:
909/557-2800
D*****@*********M
(Full email address available in API data)
Regulatory Contact
JASON GOLEMBESKI
OPERATIONS SUPERVISOR
1200 CALIFORNIA STREET, SUITE 220
REDLANDS
CA
United States
Tel:
909-557-2800
Fax:
909-557-1779
J**********@*********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 |
|---|---|---|---|---|---|
| PAINTER, CHARLES EDWARD II | Individual | – | PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL | 11/2006 | 50-75% |
| SMITH, DAVID EUGENE | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, PRINCIPAL | 11/2006 | 50-75% |