FINANCIAL COUNSELING, INC.
Adviser information for FINANCIAL COUNSELING, INC. 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 | Ohio, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 692 | $89.4M |
| Non-Discretionary | 1 | $670,000 |
| Total | 693 | $90.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 358 | $43.8M |
| HNW Individuals | 32 | $40.0M |
| 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 | $5.7M |
| Charitable organizations | 5 | $461,200 |
| 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 | $56,000 |
| Other | <5 | $100,000 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114518 |
|---|---|
| SEC ERA File Number | 801-114518 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119969 |
| Legal Entity Identifier | None |
Principal Office
582 N. MAIN ST.SPRINGBORO
OH
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 937-748-8710, Fax: 937-748-8910
Websites
Chief Compliance Officer
STEVAN VAUGHAN
CHIEF COMPLIANCE OFFICER
582 N. MAIN ST.
SPRINGBORO
OH
United States
Tel:
(937) 748-8710
Fax:
(937) 748-8910
S************@*************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 |
|---|---|---|---|---|---|
| VAUGHAN, STEVAN, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 12/2000 | > 75% |