Hedge Fund Database

ELLSWORTH ADVISORS, LLC

Adviser information for ELLSWORTH ADVISORS, LLC last updated from Form ADV on March 20th, 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 Ohio, United States

Employees

Total Number of Employees 13
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,486 $913.0M
Non-Discretionary 14 $679,279
Total 1,500 $913.6M

Clients

Type Number RAUM
Individuals 440 $405.0M
HNW Individuals 150 $490.5M
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 7 $18.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 4
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 businessesPension consulting servicesSelection of other advisers (including private fund managers)ALTERNATIVE INVESTMENTS
Compensation % of AUMFixed fees
Other Business Activities Insurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 3.8M
Portfolio Manager 0
Both for Same 636.6M
Portfolio Manager to Program Sponsor
ELLSWORTH ADVISORS, LLC WRAP FEE PROGRAM ELLSWORTH ADVISORS, LLC

Identifiers

SEC RIA File Number 801-113634
SEC ERA File Number 801-113634
SEC CIK Numbers 1843553
SEC CRD Numbers 297464
Legal Entity Identifier None

Principal Office

1764 GEORGETOWN ROAD
HUDSON
OH
United States
Monday - Friday, 9:00AM - 4:00PM
Tel: (234) 200-0703, Fax: (234) 252-2461

Websites

login.orionadvisor.com/ www.advisorclient.com/login www.linkedin.com/company/ellsworth-advisors/ www.youtube.com/channel/ucgfu2be8lopkwipmpkne3tw ; www.ellsworthadvisors.com www.journeybyea.com

Chief Compliance Officer

MICHELLE SCHWAB
CHIEF COMPLIANCE OFFICER
1764 GEORGETOWN ROAD
HUDSON
OH
United States
Tel: 234-901-2831
Fax: (234) 252-2461
(Full email address available in API data)

Regulatory Contact

KELLY MICHAEL KUENNEN
PRESIDENT
1764 GEORGETOWN ROAD
HUDSON
OH
United States
Tel: (234) 200-0703
Fax: (234) 252-2461
(Full email address available in API data)

Industry Affiliates

CAMERON SHEILDS MIELE Sponsor or syndicator of limited partnerships
GEORGETOWN INVESTMENT MANAGER. LLC Sponsor, GP, manager of pooled investment vehicles
GEORGETOWN INVESTMENT MANAGER. LLC Sponsor, GP, manager of pooled investment vehicles
MATTHEW JOHN KAULIG Sponsor or syndicator of limited partnerships

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CHATHAM SCALLOPING COMPANY Private Equity Fund $3.5M $0.0M 19
GDP INVESTMENT PARTNERS, LLC Private Equity Fund $4.9M $0.0M 43
TORSION GROUP PARTNERS, LLC Private Equity Fund $4.9M $0.0M 44

Control Persons

Name Type Entity Title Since Ownership
ELLSWORTH ADVISORS HOLDINGS, LLC Domestic Entity – MEMBER 04/2018 > 75%
Kaulig, Matthew, John Individual ELLSWORTH ADVISORS HOLDINGS, LLC MEMBER 04/2018 > 75%
KUENNEN, KELLY, MICHAEL Individual – PRESIDENT 09/2018 < 5%
SCHWAB, MICHELLE, MARIE Individual – CHIEF COMPLIANCE OFFICER 09/2018 < 5%
Miele, Cameron, Shields Individual – MANAGING DIRECTOR 04/2018 < 5%
Clepper, Timothy, Banks Individual – MANAGING PARTNER 04/2018 < 5%
Martin, Paul, A Individual – CHIEF FINANCIAL OFFICER 11/2018 < 5%

No. Employees, Historic

2010020192020202120222023202420259 on 5/9/20199 on 7/18/20199 on 8/16/20199 on 9/4/20199 on 9/9/20199 on 9/20/20199 on 10/14/20199 on 10/17/20199 on 10/31/20199 on 11/8/201911 on 11/27/201911 on 1/29/202011 on 2/5/202011 on 3/5/202011 on 3/13/202011 on 4/22/202011 on 5/22/202011 on 8/21/202012 on 11/10/202012 on 11/18/202012 on 3/19/202112 on 3/26/202112 on 6/23/202112 on 6/23/202112 on 10/1/202112 on 10/1/202112 on 12/20/202112 on 3/23/202212 on 3/25/202212 on 11/15/202213 on 3/13/202313 on 3/20/202313 on 3/22/202313 on 4/24/202313 on 5/31/202313 on 3/7/202413 on 3/20/2024

RAUM, Historic

1B500M02019202020212022202320242025520412375 on 5/9/2019520412375 on 7/18/2019520412375 on 8/16/2019520412375 on 9/4/2019520412375 on 9/9/2019520412375 on 9/20/2019520412375 on 10/14/2019520412375 on 10/17/2019520412375 on 10/31/2019520412375 on 11/8/2019520412375 on 11/27/2019520412375 on 1/29/2020520412375 on 2/5/2020385988395 on 3/5/2020385988395 on 3/13/2020385988395 on 4/22/2020385988395 on 5/22/2020385988395 on 8/21/2020385988395 on 11/10/2020549580705 on 11/18/2020562212207 on 3/19/2021562212207 on 3/26/2021562212207 on 6/23/2021562212207 on 6/23/2021562212207 on 10/1/2021562212207 on 10/1/2021562212207 on 12/20/2021711433437 on 3/23/2022711433437 on 3/25/2022711433437 on 11/15/2022776988337 on 3/13/2023776988337 on 3/20/2023776988337 on 3/22/2023776988337 on 4/24/2023776988337 on 5/31/2023641209437 on 3/7/2024913641239 on 3/20/2024

No. Clients, Historic

60030002019202020212022202320242025215 on 5/9/2019215 on 7/18/2019215 on 8/16/2019215 on 9/4/2019215 on 9/9/2019215 on 9/20/2019215 on 10/14/2019215 on 10/17/2019215 on 10/31/2019215 on 11/8/2019215 on 11/27/2019215 on 1/29/2020215 on 2/5/2020249 on 3/5/2020249 on 3/13/2020249 on 4/22/2020249 on 5/22/2020249 on 8/21/2020249 on 11/10/2020250 on 11/18/2020305 on 3/19/2021305 on 3/26/2021305 on 6/23/2021305 on 6/23/2021305 on 10/1/2021305 on 10/1/2021305 on 12/20/2021396 on 3/23/2022396 on 3/25/2022396 on 11/15/2022527 on 3/13/2023527 on 3/20/2023527 on 3/22/2023527 on 4/24/2023527 on 5/31/2023563 on 3/7/2024597 on 3/20/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AB ACTIVE ETFS INC ULTRA SHORT INCM 3M 55K 0
ADDUS HOMECARE CORP COM 598K 5K 0
AES CORP COM 992K 56K 0
AGCO CORP COM 4M 36K 0
ALLIANT ENERGY CORP COM 4M 88K 0
ALLSTATE CORP COM 5M 32K 0
ALPHABET INC CAP STK CL C 5M 26K 0
ALPS ETF TR ACTIVE REIT ETF 3M 112K 0
ALPS ETF TR OSHARES US SMLCP 275K 7K 0
ALTRIA GROUP INC COM 611K 13K 0
AMAZON COM INC COM 310K 2K 0
AMERICAN TOWER CORP NEW COM 223K 1K 0
AMPHASTAR PHARMACEUTICALS IN COM 3M 86K 0
ANDERSONS INC COM 449K 9K 0
APPLE INC COM 7M 34K 0
APTIV PLC SHS 2M 21K 0
ARCH CAP GROUP LTD ORD 6M 56K 0
ARGAN INC COM 795K 11K 0
AUTOLIV INC COM 1M 12K 0
AUTONATION INC COM 612K 4K 0
BANK AMERICA CORP COM 2M 40K 0
BANK NEW YORK MELLON CORP COM 207K 3K 0
BENSON HILL INC COMMON STOCK 7K 45K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 11K 0
BLACKSTONE INC COM 5M 42K 0
BLUEPRINT MEDICINES CORP COM 558K 5K 0
BUNGE GLOBAL SA COM SHS 1M 11K 0
BURGERFI INTERNATIONAL INC COM 5K 25K 0
CAMTEK LTD ORD 926K 7K 0
CASS INFORMATION SYS INC COM 433K 11K 0
CATERPILLAR INC COM 6M 17K 0
CENTENE CORP DEL COM 4M 66K 0
CHORD ENERGY CORPORATION COM NEW 511K 3K 0
CISCO SYS INC COM 5M 98K 0
CLEARWATER PAPER CORP COM 525K 11K 0
COCA COLA CO COM 5M 81K 0
COLGATE PALMOLIVE CO COM 203K 2K 0
COLISEUM ACQUISITION CORP *W EXP 08/22/202 8K 167K 0
COMMVAULT SYS INC COM 495K 4K 0
CONSOLIDATED EDISON INC COM 5M 54K 0
CORVEL CORP COM 579K 2K 0
CROWN CASTLE INC COM 489K 5K 0
DEERE & CO COM 5M 12K 0
DESCARTES SYS GROUP INC COM 527K 5K 0
DIGITAL RLTY TR INC COM 309K 2K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 287K 9K 0
DISNEY WALT CO COM 2M 21K 0
DONNELLEY FINL SOLUTIONS INC COM 561K 9K 0
DOW INC COM 5M 88K 0
EATON CORP PLC SHS 8M 27K 0
ELI LILLY & CO COM 352K 388 0
EMPLOYERS HLDGS INC COM 495K 12K 0
ENBRIDGE INC COM 364K 10K 0
ENERGY TRANSFER L P COM UT LTD PTN 1M 86K 0
ENSIGN GROUP INC COM 561K 5K 0
ENTERPRISE PRODS PARTNERS L COM 636K 22K 0
EOG RES INC COM 2M 13K 0
EQUITABLE HLDGS INC COM 1M 32K 0
ESPEY MFG & ELECTRS CORP COM 476K 22K 0
ESSENT GROUP LTD COM 538K 10K 0
EURONET WORLDWIDE INC COM 514K 5K 0
EXXON MOBIL CORP COM 3M 24K 0
FEDERAL AGRIC MTG CORP CL C 619K 3K 0
FEDEX CORP COM 311K 1K 0
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 1M 21K 0
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 248K 7K 0
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 10M 160K 0
FIRST TR EXCHNG TRADED FD VI VEST BUFFERED 3M 112K 0
FORD MTR CO DEL COM 267K 21K 0
GEN DIGITAL INC COM 1M 56K 0
GENERAL MLS INC COM 4M 70K 0
GENUINE PARTS CO COM 4M 32K 0
GRAHAM CORP COM 883K 31K 0
GRAPHIC PACKAGING HLDG CO COM 4M 160K 0
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 240K 5K 0
HALLIBURTON CO COM 525K 16K 0
HARBOR ETF TRUST HARBOR COMMODITY 6M 256K 0
HAWKINS INC COM 680K 7K 0
HEALTHSTREAM INC COM 532K 19K 0
HEWLETT PACKARD ENTERPRISE C COM 1M 59K 0
HONEYWELL INTL INC COM 2M 10K 0
HORMEL FOODS CORP COM 381K 12K 0
HP INC COM 1M 34K 0
IES HLDGS INC COM 809K 6K 0
INFORMATICA INC COM CL A 567K 18K 0
INSTEEL INDS INC COM 477K 15K 0
INTEGRA LIFESCIENCES HLDGS C COM NEW 3M 120K 0
INTEL CORP COM 635K 21K 0
INTERACTIVE BROKERS GROUP IN COM CL A 6M 51K 0
INTUIT COM 6M 10K 0
IRON MTN INC DEL COM 2M 24K 0
ISHARES TR CORE S&P TTL STK 339K 3K 0
ISHARES TR CORE S&P MCP ETF 306K 5K 0
ISHARES TR CORE S&P500 ETF 374K 683 0
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 2M 30K 0
JAZZ PHARMACEUTICALS PLC SHS USD 4M 37K 0
JOHNSON & JOHNSON COM 2M 12K 0
JPMORGAN CHASE & CO. COM 1M 7K 0
KARAT PACKAGING INC COM 603K 20K 0
KENVUE INC COM 1M 56K 0
KINDER MORGAN INC DEL COM 1M 61K 0
KRAFT HEINZ CO COM 4M 134K 0
KYNDRYL HLDGS INC COMMON STOCK 604K 23K 0
LAMAR ADVERTISING CO NEW CL A 1M 11K 0
LENNAR CORP CL A 2M 16K 0
LYONDELLBASELL INDUSTRIES N SHS - A - 5M 52K 0
MARKEL GROUP INC COM 5M 3K 0
MCDONALDS CORP COM 5M 19K 0
MERCK & CO INC COM 8M 61K 0
META PLATFORMS INC CL A 726K 1K 0
MICROCHIP TECHNOLOGY INC. COM 3M 29K 0
MICROSOFT CORP COM 282K 632 0
MILLER INDS INC TENN COM NEW 629K 11K 0
MORGAN STANLEY COM NEW 253K 3K 0
MOSAIC CO NEW COM 1M 35K 0
NAPCO SEC TECHNOLOGIES INC COM 504K 10K 0
NETFLIX INC COM 1M 2K 0
NEWMONT CORP COM 609K 15K 0
NIKE INC CL B 1M 18K 0
NORTHEAST BK LEWISTON ME COM 768K 13K 0
NORTHERN DYNASTY MINERALS LT COM NEW 9K 30K 0
NORTHWEST PIPE CO COM 529K 16K 0
NUCOR CORP COM 2M 14K 0
NVIDIA CORPORATION COM 7M 54K 0
OIL DRI CORP AMER COM 478K 7K 0
PACKAGING CORP AMER COM 6M 35K 0
PALO ALTO NETWORKS INC COM 272K 803 0
PARKER-HANNIFIN CORP COM 807K 2K 0
PAYCHEX INC COM 5M 41K 0
PEPSICO INC COM 2M 13K 0
PINNACLE WEST CAP CORP COM 1M 17K 0
PJT PARTNERS INC COM CL A 565K 5K 0
PROCORE TECHNOLOGIES INC COM 460K 7K 0
PROCTER AND GAMBLE CO COM 616K 4K 0
PROGRESSIVE CORP COM 5M 22K 0
PROSHARES TR PSHS ULTSH 20YRS 1M 32K 0
PRUDENTIAL FINL INC COM 6M 49K 0
PUBLIC STORAGE OPER CO COM 6M 22K 0
RADIAN GROUP INC COM 559K 18K 0
RENAISSANCERE HLDGS LTD COM 5M 21K 0
RIO TINTO PLC SPONSORED ADR 558K 8K 0
RTX CORPORATION COM 2M 17K 0
SALESFORCE INC COM 213K 828 0
SELECT SECTOR SPDR TR SBI INT-UTILS 303K 4K 0
SHELL PLC SPON ADS 1M 18K 0
SHERWIN WILLIAMS CO COM 1M 4K 0
SM ENERGY CO COM 451K 10K 0
SONY GROUP CORP SPONSORED ADR 1M 17K 0
SOUTHERN CO COM 6M 72K 0
SPARTANNASH CO COM 4M 222K 0
SPDR GOLD TR GOLD SHS 13M 60K 0
SQUARESPACE INC CLASS A 627K 14K 0
STERLING INFRASTRUCTURE INC COM 1M 8K 0
STRYKER CORPORATION COM 307K 904 0
TESLA INC COM 301K 2K 0
THE CIGNA GROUP COM 5M 15K 0
TIMKEN CO COM 5M 57K 0
TOWNEBANK PORTSMOUTH VA COM 276K 10K 0
TOYOTA MOTOR CORP ADS 2M 9K 0
TRANSCAT INC COM 578K 5K 0
TRUST FOR PROFESSIONAL MANAG CROSSINGBRDG PRE 630K 29K 0
UNION PAC CORP COM 966K 4K 0
UNITED PARCEL SERVICE INC CL B 4M 28K 0
UNITED STS LIME & MINERALS I COM 739K 2K 0
UNITED STS NAT GAS FD LP UNIT PAR 2M 101K 0
UNITEDHEALTH GROUP INC COM 625K 1K 0
US BANCORP DEL COM NEW 5M 115K 0
VANGUARD INDEX FDS GROWTH ETF 578K 2K 0
VANGUARD INDEX FDS EXTEND MKT ETF 211K 1K 0
VANGUARD INDEX FDS MID CAP ETF 403K 2K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 558K 3K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 498K 10K 0
VERTEX INC CL A 577K 16K 0
VILLAGE SUPER MKT INC CL A NEW 501K 19K 0
VISA INC COM CL A 2M 9K 0
WALMART INC COM 408K 6K 0
WASTE MGMT INC DEL COM 7M 31K 0