ERBEN ASSOCIATES, LLC
Adviser information for ERBEN ASSOCIATES, 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 | Texas, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 39 | $22.4M |
| Non-Discretionary | 676 | $274.7M |
| Total | 715 | $297.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 18 | $14.9M |
| HNW Individuals | 44 | $77.2M |
| 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 | 45 | $205.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 45 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING; THIRD PARTY ADVISER SEARCH AND MONITORING |
|---|---|
| Compensation | Fixed fees% OF ASSETS UNDER ADVISEMENT; SOLICITOR'S FEE |
| Other Business Activities | Insurance broker or agentTrust companyCONSULTING |
Identifiers
| SEC RIA File Number | 801-114578 |
|---|---|
| SEC ERA File Number | 801-114578 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148703 |
| Legal Entity Identifier | None |
Principal Office
300 BEARDSLEY LANE, BLDG. DSUITE 200
AUSTIN
TX
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 512-402-0250, Fax: 512-402-0381
Chief Compliance Officer
BRITTANY K. WORRELL
DIRECTOR OF OPERATIONS
300 BEARDSLEY LANE
SUITE D-200
AUSTIN
TX
United States
Tel:
512-402-0250
Fax:
512-402-0381
B*******@******************M
(Full email address available in API data)
Regulatory Contact
JAMES B. ERBEN
PRESIDENT
300 BEARDSLEY LANE, BLDG. D
SUITE 200
AUSTIN
TX
United States
Tel:
512-402-0250
Fax:
512-402-0381
J*****@******************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 |
|---|---|---|---|---|---|
| ERBEN, JAMES, BEATON | Individual | – | MANAGING MEMBER | 03/2006 | > 75% |
| WORRELL, BRITTANY, KATHRINE | Individual | – | CHIEF COMPLIANCE OFFICER & CLIENT SERVICES MANAGER | 11/2017 | < 5% |