CORDIS FINANCIAL, LLC
Adviser information for CORDIS FINANCIAL, LLC last updated from Form ADV on March 5th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 540 | $181.3M |
| Non-Discretionary | 0 | $0 |
| Total | 540 | $181.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 107 | $49.1M |
| HNW Individuals | 61 | $132.1M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $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 | 4 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-113230 |
|---|---|
| SEC ERA File Number | 801-113230 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 294766 |
| Legal Entity Identifier | None |
Principal Office
3001 BROADWAY STREET NESUITE 100
MINNEAPOLIS
MN
United States
Monday - Friday, 9:00AM -4:00PM
Tel: (612) 268-2620, Fax: None
Chief Compliance Officer
INGRID E. STRAUSS
PARTNER/MEMBER
3001 BROADWAY STREET NE
SUITE 100
MINNEAPOLIS
MN
United States
Tel:
(612) 268-2620
I*****@******************M
(Full email address available in API data)
Regulatory Contact
JEANNA FIFER
PARTNER/MEMBER
3001 BROADWAY STREET NE
3001 BROADWAY STREET NE
MINNEAPOLIS
MN
United States
Tel:
(612) 268-2620
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 |
|---|---|---|---|---|---|
| STRAUSS, INGRID, ELIZABETH | Individual | – | PARTNER/MEMBER AND CHIEF COMPLIANCE OFFICER | 06/2015 | 50-75% |
| FIFER, JEANNA, R | Individual | – | PARTNER / MEMBER | 01/2020 | 50-75% |