HUGHES WARREN, INC.
Adviser information for HUGHES WARREN, INC. last updated from Form ADV on February 13th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oklahoma, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 757 | $159.4M |
| Non-Discretionary | 0 | $0 |
| Total | 757 | $159.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 319 | $118.1M |
| HNW Individuals | 26 | $41.3M |
| 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 | 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 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-113240 |
|---|---|
| SEC ERA File Number | 801-113240 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145570 |
| Legal Entity Identifier | None |
Principal Office
16350 MUIRFIELD PLACEEDMOND
OK
United States
Monday - Friday, 8AM-5PM M-TH, 8AM-3PM F
Tel: 405-418-4080, Fax: 405-418-4082
Chief Compliance Officer
MELINDA WARREN
FOUNDING PARTNER
16350 MUIRFIELD PLACE
EDMOND
OK
United States
Tel:
405-418-4080
Fax:
405-418-4082
M******@***************M
(Full email address available in API data)
Regulatory Contact
THEODORE JOHN HUGHES
PRESIDENT
16350 MUIRFIELD PLACE
EDMOND
OK
United States
Tel:
405-418-4080
Fax:
405-418-4082
T**@***************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 |
|---|---|---|---|---|---|
| HUGHES, THEODORE, JOHN | Individual | – | PRESIDENT | 10/2007 | > 75% |
| WARREN, MELINDA | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |