PROVIDER FINANCIAL, INC.
Adviser information for PROVIDER FINANCIAL, INC. last updated from Form ADV on March 2nd, 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 | Indiana, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 776 | $240.0M |
| Non-Discretionary | 0 | $0 |
| Total | 776 | $240.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 340 | $120.0M |
| HNW Individuals | 80 | $120.0M |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 240.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PROVIDER FINANCIAL WRAP FEE PROGRAM | LPL FINANCIAL LLC |
Identifiers
| SEC RIA File Number | 801-113344 |
|---|---|
| SEC ERA File Number | 801-113344 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168964 |
| Legal Entity Identifier | None |
Principal Office
3091 EAST 98TH STREETSUITE 200
INDIANAPOLIS
IN
United States
Monday - Friday, 8:30-4:30
Tel: (317)706-0890, Fax: (317)706-0910
Websites
Chief Compliance Officer
ROBERT L. MALMQUIST
PRESIDENT
3091 EAST 98TH STREET
SUITE 200
INDIANAPOLIS
IN
United States
Tel:
317-706-0890
Fax:
(317)706-0910
R***************@*********************M
(Full email address available in API data)
Regulatory Contact
JENNY MALMQUIST
3091 EAST 98TH STREET
SUITE 200
INDIANAPOLIS
IN
United States
Tel:
317-706-0890
J****@*********************M
(Full email address available in API data)
Industry Affiliates
| ROBERT L. MALMQUIST | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MALMQUIST, ROBERT, LAINE | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 09/2013 | > 75% |