NAVIGATE WEALTH MANAGEMENT, LLC
Adviser information for NAVIGATE WEALTH MANAGEMENT, LLC last updated from Form ADV on March 21st, 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 | Alabama, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 679 | $294.5M |
| Non-Discretionary | 0 | $0 |
| Total | 679 | $294.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $42.6M |
| HNW Individuals | 111 | $251.6M |
| 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 | <5 | $306,205 |
| 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 businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSUBADVISER FEE |
Identifiers
| SEC RIA File Number | 801-114048 |
|---|---|
| SEC ERA File Number | 801-114048 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 173770 |
| Legal Entity Identifier | None |
Principal Office
ONE INDEPENDENCE PLAZASUITE 816
BIRMINGHAM
AL
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 205-224-9500, Fax: 205-224-3464
Chief Compliance Officer
CARL JOHAN GRAHS
PRINCIPAL
ONE INDEPENDENCE PLAZA
SUITE 816
BIRMINGHAM
AL
United States
Tel:
205-224-9500
Fax:
205-224-3464
J****@*****************M
(Full email address available in API data)
Regulatory Contact
CALEB RYAN HOPKINS
PRINCIPAL
ONE INDEPENDENCE PLAZA
SUITE 816
BIRMINGHAM
AL
United States
Tel:
205-224-9500
Fax:
205-224-3464
C****@*****************M
(Full email address available in API data)
Industry Affiliates
| NAVIGATE 401K, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRAHS, CARL, JOHAN | Individual | – | PRINCIPAL & CHIEF COMPLIANCE OFFICER | 11/2014 | 50-75% |
| HOPKINS, CALEB, RYAN | Individual | – | PRINCIPAL | 11/2014 | 50-75% |