TRANQUILLI FINANCIAL ADVISOR, LLC
Adviser information for TRANQUILLI FINANCIAL ADVISOR, LLC last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 503 | $163.1M |
| Non-Discretionary | 0 | $0 |
| Total | 503 | $163.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 164 | $39.8M |
| HNW Individuals | 63 | $121.9M |
| 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 | $1.1M |
| Charitable organizations | <5 | $306,410 |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113998 |
|---|---|
| SEC ERA File Number | 801-113998 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298056 |
| Legal Entity Identifier | None |
Principal Office
35 LEIGH STREETCLINTON
NJ
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (908) 730-6234, Fax: (908) 735-7608
Chief Compliance Officer
LOUIS TRANQUILLI
35 LEIGH STREET
CLINTON
NJ
United States
Tel:
(908) 730-6234
Fax:
(908) 735-7608
L**@***************M
(Full email address available in API data)
Regulatory Contact
LORI NEIDEL
OUTSIDE COMPLIANCE CONSULTANT
910 EAST BROADWAY
SUITE 209
COLUMBIA
MO
United States
Tel:
(573) 416-8076
L***@************************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 |
|---|---|---|---|---|---|
| TRANQUILLI, LOUIS | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 10/2018 | > 75% |
| T.I.M.E.S., FINANCIAL PLANNING, INC. | Domestic Entity | – | MANAGING MEMBER | 10/2018 | < 5% |
| TRANQUILLI, LOUIS | Individual | T.I.M.E.S., FINANCIAL PLANNING, INC. | SHAREHOLDER | 10/2018 | > 75% |