ADVISOR FINANCIAL SERVICES, INC.
ADVISOR FINANCIAL SERVICES INC Legal Name
Adviser information for ADVISOR FINANCIAL SERVICES, INC. last updated from Form ADV on March 30th, 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 | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 390 | $37.2M |
| Non-Discretionary | 6 | $741,105 |
| Total | 396 | $38.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 293 | $25.8M |
| HNW Individuals | 16 | $12.2M |
| 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 | 2 |
| 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 businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-113326 |
|---|---|
| SEC ERA File Number | 801-113326 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118537 |
| Legal Entity Identifier | None |
Principal Office
9307 BROOK RDGLEN ALLEN
VA
United States
MONDAY-THURSDAY, 9 AM -3 PM
Tel: 804-234-8600, Fax: 518-444-0450
Websites
Chief Compliance Officer
DAVID LUCK
CEO
9307 BROOK RD
GLEN ALLEN
VA
United States
Tel:
804-234-8600
C**@**********G
(Full email address available in API data)
Regulatory Contact
SUSAN LUCK
VICE PRESIDENT
9307 BROOK RD
GLEN ALLEN
VA
United States
Tel:
8042348605
C********@**********G
(Full email address available in API data)
Industry Affiliates
| ACCOUNTING FIRM | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUCK, DAVID, CARL | Individual | – | CCO | 01/1995 | > 75% |