VESTED FINANCE
VESTED FINANCE INC. Legal Name
Adviser information for VESTED FINANCE last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 58 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 15 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 12008 |
| No. of Non-U.S. Clients | 99 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | ONLINE INVESTMENT ADVISORY PLATFORM |
|---|---|
| Compensation | Fixed feesASSET-BASED FEES |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 24.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| VESTED FINANCE WRAP FEE PROGRAM | VESTED FINANCE |
Identifiers
| SEC RIA File Number | 801-114441 |
|---|---|
| SEC ERA File Number | 801-114441 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299272 |
| Legal Entity Identifier | None |
Principal Office
222 N. SEPULVEDA BLVD.(PCH)SUITE 10-124
EL SEGUNDO
CA
United States
Monday - Friday, 8:00 AM-5:00 PM
Tel: 310-895-3927, Fax: None
Chief Compliance Officer
SCOTT BRODY
CHIEF COMPLIANCE OFFICER
222 N. SEPULVEDA DRIVE(PCH)
SUITE 10-124
EL SEGUNDO
CA
United States
Tel:
310-895-3927
S**********@***************O
(Full email address available in API data)
Regulatory Contact
SHABANA PATHAN
ASSOCIATE DIRECTOR, COMPLIANCE
222 N. SEPULVEDA DRIVE(PCH)
SUITE 10-124
EL SEGUNDO
CA
United States
Tel:
3105009706
S*************@***************O
(Full email address available in API data)
Industry Affiliates
| VF SECURITIES | 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 |
|---|---|---|---|---|---|
| BRODY, SCOTT, NATHAN | Individual | – | CCO | 02/2022 | < 5% |
| VESTED HOLDING CORP. | Domestic Entity | – | MEMBER | 06/2021 | > 75% |
| SHAH, VIRAM | Individual | – | CEO | 09/2018 | < 5% |
| SOOD, SANJAY, KUMAR | Individual | – | CFO | 09/2018 | < 5% |
| Pagidipati, Rahuldev, Ravi | Individual | VESTED HOLDING CORP. | SHAREHOLDER, VOTING SHARES | 09/2023 | 25-50% |