CLOSED-END FUND ADVISORS
CLOSED-END FUND ADVISORS INC. Legal Name
Adviser information for CLOSED-END FUND ADVISORS 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 141 | $90.1M |
| Non-Discretionary | 7 | $69.0M |
| Total | 148 | $159.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 48 | $11.8M |
| HNW Individuals | 29 | $66.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $68.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $12.1M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPublication of periodicals or newslettersSecurity ratings or pricing servicesHOURLY/RETAINER RESEARCH CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-113697 |
|---|---|
| SEC ERA File Number | 801-113697 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115562 |
| Legal Entity Identifier | None |
Principal Office
7204 GLEN FOREST DRIVESUITE #105
RICHMOND
VA
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: 804-288-2482, Fax: 866-313-3002
Chief Compliance Officer
JOHN COLE SCOTT
PRESIDENT, CHIEF INVESTMENT OFFICER
7204 GLEN FOREST DRIVE
SUITE #105
RICHMOND
VA
United States
Tel:
804-288-2482
Fax:
866-313-3002
J**@**************M
(Full email address available in API data)
Regulatory Contact
DAVID CARTER
GENERAL COUNSEL
7204 GLEN FOREST DRIVE
SUITE #105
RICHMOND
VA
United States
Tel:
804-288-2482
Fax:
866-313-3002
D******@**************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 |
|---|---|---|---|---|---|
| SCOTT, JOHN, COLE | Individual | – | CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER | 10/2004 | > 75% |
| SCOTT, JOHN, COLE | Individual | – | PRESIDENT | 12/2022 | > 75% |