PROVENANCE WEALTH ADVISORS
PROVENANCE WEALTH ADVISORS, LLC Legal Name
Adviser information for PROVENANCE WEALTH ADVISORS last updated from Form ADV on March 26th, 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 | Florida, United States |
Employees
| Total Number of Employees | 50 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 35 |
| Registered State Investment Advisers | 23 |
| Licensed Agents of an Insurance Company | 22 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,879 | $1.8B |
| Non-Discretionary | 167 | $779.2M |
| Total | 2,046 | $2.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,392 | $417.6M |
| HNW Individuals | 348 | $1.1B |
| 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 | 135 | $776.1M |
| Charitable organizations | 6 | $4.0M |
| 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 | 165 | $318.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 84 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPORTFOLIO CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113505 |
|---|---|
| SEC ERA File Number | 801-113505 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126529 |
| Legal Entity Identifier | None |
Principal Office
200 EAST LAS OLAS BOULEVARD19TH FLOOR
FORT LAUDERDALE
FL
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 954-712-8888, Fax: 954-712-8900
Chief Compliance Officer
THOMAS JOSEPH SCANLAN
200 EAST LAS OLAS BOULEVARD
19TH FLOOR
FORT LAUDERDALE
FL
United States
Tel:
954-712-7006
Fax:
954-712-8900
T*******@*************M
(Full email address available in API data)
Regulatory Contact
LISA DONELSON
COMPLIANCE AND OPERATIONS MANAGER
200 EAST LAS OLAS BOULEVARD
19TH FLOOR
FT. LAUDERDALE
FL
United States
Tel:
954-712-8893
Fax:
954-712-6165
L********@*************M
(Full email address available in API data)
Industry Affiliates
| BERKOWITZ POLLACK BRANT ADVISORS AND ACCOUNTANTS | Accountant or accounting firm |
| PROVENANCE INSURANCE SERVICES LLC | Insurance company or agency |
| PWA SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZEITLIN, ERIC, PAUL | Individual | – | MANAGING DIRECTOR | 02/2000 | < 5% |
| HEDIGER, LEE, FREDERICK | Individual | – | DIRECTOR | 02/2000 | < 5% |
| ZEITLIN, ERIC, PAUL | Individual | ZYH HOLDING COMPANY LLC | MEMBER | 01/2000 | 50-75% |
| HEDIGER, LEE, FREDERICK | Individual | ZYH HOLDING COMPANY LLC | MEMBER | 01/2000 | 25-50% |
| MOLL, TODD, ANTHONY | Individual | – | DIRECTOR | 12/2000 | < 5% |
| SCANLAN, THOMAS, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2018 | < 5% |
| DEVINEY, SEAN, THOMAS | Individual | – | DIRECTOR | 10/2017 | < 5% |
| MONTGOMERY, SCOTT, RICHARD | Individual | – | DIRECTOR | 01/2010 | < 5% |
| ZYH HOLDING COMPANY LLC | Domestic Entity | PWA HOLDINGS, LLC | MEMBER | 04/2021 | 50-75% |
| PARADIGM FINANCIAL GROUP LLC | Domestic Entity | PWA HOLDINGS, LLC | MEMBER | 04/2021 | 50-75% |
| PWA HOLDINGS, LLC | Domestic Entity | – | MEMBER | 07/2022 | > 75% |
| BERKOWITZ, RICHARD, ALAN | Individual | PARADIGM FINANCIAL GROUP LLC | MANAGING MEMBER | 01/2000 | 25-50% |
| BRANT, BARRY, MICHAEL | Individual | PARADIGM FINANCIAL GROUP LLC | MEMBER | 01/2000 | 25-50% |