STAINES FINANCIAL, LLC
Adviser information for STAINES FINANCIAL, LLC last updated from Form ADV on March 16th, 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 | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 359 | $181.9M |
| Non-Discretionary | 0 | $0 |
| Total | 359 | $181.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 323 | $81.1M |
| HNW Individuals | 34 | $54.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $46.4M |
| 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 | 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-114428 |
|---|---|
| SEC ERA File Number | 801-114428 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299405 |
| Legal Entity Identifier | None |
Principal Office
1420 ROCKY RIDGE DRIVESUITE 250
ROSEVILLE
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 916-663-6723, Fax: N/A
Websites
Chief Compliance Officer
MARK MASSARO
VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, AND OFFICE OPERATIONS
1420 ROCKY RIDGE DRIVE
SUITE 250
ROSEVILLE
CA
United States
Tel:
(916) 663-6723
Fax:
916-663-6734
M***@*******************M
(Full email address available in API data)
Regulatory Contact
JANICE HETHERINGTON
OFFICE OPERATIONS MANAGER
1420 ROCKY RIDGE DRIVE
SUITE 250
ROSEVILLE
CA
United States
Tel:
916-663-6723
J*****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| JORVA PARTNERS A LP | Hedge Fund | $8.9M | $0.0M | 34 |
| JORVA PARTNERS B LP | Hedge Fund | $37.5M | $0.0M | 269 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STAINES, MICHAEL, LAWRENCE | Individual | – | MANAGING MEMBER | 04/2017 | > 75% |
| Massaro, Mark | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, AND OFFICE OPERATIONS | 07/2019 | < 5% |