ALSWORTH CAPITAL MANAGEMENT, LLC
Adviser information for ALSWORTH CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 19th, 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 | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 169 | $84.1M |
| Non-Discretionary | 0 | $0 |
| Total | 169 | $84.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $25.7M |
| HNW Individuals | 42 | $53.7M |
| 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 | 5 | $242,235 |
| Charitable organizations | 5 | $3.5M |
| 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 | <5 | $948,828 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113550 |
|---|---|
| SEC ERA File Number | 801-113550 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281417 |
| Legal Entity Identifier | None |
Principal Office
4 WEST MARKET STREETCORNING
NY
United States
Monday - Friday, 9AM -5PM EST
Tel: (607) 973-2665, Fax: None
Chief Compliance Officer
JACQUELINE H. ALSWORTH
4 WEST MARKET STREET
CORNING
NY
United States
Tel:
(607) 973-2665
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 |
|---|---|---|---|---|---|
| Alsworth, Jacqueline, Hope | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | 50-75% |
| ALSWORTH, SHANE, MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2015 | 50-75% |