ALBERT INVESTMENTS, LLC
Adviser information for ALBERT INVESTMENTS, LLC last updated from Form ADV on March 29th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| 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 | 217,729 | $16.7M |
| Non-Discretionary | 0 | $0 |
| Total | 217,729 | $16.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 217,729 | $16.7M |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $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 businesses |
|---|---|
| Compensation | Fixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 16.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ALBERT WRAP FEE PROGRAM | ALBERT INVESTMENTS, LLC |
Identifiers
| SEC RIA File Number | 801-114361 |
|---|---|
| SEC ERA File Number | 801-114361 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298006 |
| Legal Entity Identifier | None |
Principal Office
126 E HALEY STSUITE A2
SANTA BARBARA
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 844-891-9309, Fax: None
Chief Compliance Officer
MICHAEL FRIEDMAN
HEAD OF BD AND RIA
126 E HALEY ST
SUITE A2
SANTA BARBARA
CA
United States
Tel:
213-293-9936
M***************@*********M
(Full email address available in API data)
Industry Affiliates
| ALBERT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALBERT CORPORATION | Domestic Entity | – | OWNER | 06/2018 | > 75% |
| FRIEDMAN, MICHAEL, J | Individual | – | HEAD OF RIA & CCO | 01/2023 | < 5% |