PROMONTORY FINANCIAL PLANNING, LLC
Adviser information for PROMONTORY FINANCIAL PLANNING, LLC last updated from Form ADV on February 2nd, 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 | Utah, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 570 | $263.0M |
| Non-Discretionary | 0 | $0 |
| Total | 570 | $263.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 500 | $178.0M |
| HNW Individuals | 65 | $81.0M |
| 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 | $4.0M |
| 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 |
| No. of Financial Planning Clients | 570 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-114494 |
|---|---|
| SEC ERA File Number | 801-114494 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153666 |
| Legal Entity Identifier | None |
Principal Office
240 N. EAST PROMONTORY SUITE 245FARMINGTON
UT
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 801-513-2545, Fax: 801-618-4869
Websites
Chief Compliance Officer
BROCK WILLIAMSON
PRINCIPAL
240 N. EAST PROMONTORY SUITE 245
FARMINGTON
UT
United States
Tel:
801-513-2545
Fax:
801-618-4869
B****@***************M
(Full email address available in API data)
Regulatory Contact
TYRA WILLIAMSON
OWNER
240 N. EAST PROMONTORY SUITE 245
FARMINGTON
UT
United States
Tel:
801-513-2545
Fax:
801-618-4869
T***@***************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 |
|---|---|---|---|---|---|
| WILLIAMSON, TYRA | Individual | – | OWNER/ADVISOR | 04/2010 | 50-75% |
| WILLIAMSON, BROCK, DON | Individual | – | PRESIDENT/OWNER/CCO | 04/2010 | 50-75% |