Hedge Fund Database

FINANCIAL & TAX ARCHITECTS, LLC

Adviser information for FINANCIAL & TAX ARCHITECTS, LLC last updated from Form ADV on March 8th, 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 Missouri, United States

Employees

Total Number of Employees 40
Investment Advisory/Research 25
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 23
Licensed Agents of an Insurance Company 25
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,452 $345.8M
Non-Discretionary 323 $33.1M
Total 3,775 $378.9M

Clients

Type Number RAUM
Individuals 649 $138.6M
HNW Individuals 162 $82.9M
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 8 $157.3M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshopsSUB-ADVISORY SERVICES
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-114688
SEC ERA File Number 801-114688
SEC CIK Numbers 1758543
SEC CRD Numbers 119169
Legal Entity Identifier None

Principal Office

12412 POWERSCOURT DRIVE
SUITE 25
ST. LOUIS
MO
United States
Monday - Friday, 9-4
Tel: 314-858-1122, Fax: 314-787-1507

Websites

www.fta-ria.com www.nationalretirementconsulting.com www.professionalgroupinc.com www.scoutfinancialgroup.com www.retirementincomeblueprints.com www.newdayfinancial.net www.miasulak.com www.knoxvilleretirementplanner.com www.jdrbastion.com

Chief Compliance Officer

MANOJ (TITO) POMBRA
12412 POWERSCOURT DRIVE
SUITE 25
ST. LOUIS
MO
United States
Tel: 650-703-2159
Fax: 314-787-1507
(Full email address available in API data)

Regulatory Contact

ANDY CLAUS
VICE PRESIDENT
12412 POWERSCOURT DRIVE
SUITE 25
SL. LOUIS
MO
United States
Tel: 314-858-1122
Fax: 314-787-1507
(Full email address available in API data)

Industry Affiliates

ADVISORMAX, LLC Insurance company or agency
FTA INSURANCE SERVICES, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
BROOKS, DAVID, SCOTT Individual – PRESIDENT 07/1999 < 5%
HAAVE, GORDON, CHRISTOPHER Individual – CHIEF INVESTMENT OFFICER 11/2016 < 5%
FTA HOLDINGS GROUP, LLC Domestic Entity – MEMBER 05/2022 > 75%
VICTORIAE, INC. Domestic Entity FTA HOLDINGS GROUP, LLC MEMBER 05/2022 > 75%
BROOKS, DAVID, SCOTT Individual VICTORIAE, INC. SHAREHOLDER 05/2022 > 75%
POMBRA, MANOJ, KUMAR Individual – CHIEF COMPLIANCE OFFICER 05/2023 < 5%

No. Employees, Historic

40200201920202021202220232024202519 on 4/18/201919 on 5/17/201919 on 6/5/201919 on 6/12/201919 on 6/12/201919 on 6/17/201919 on 6/17/201921 on 8/30/201921 on 11/12/201921 on 12/12/201922 on 3/19/202022 on 6/30/202022 on 7/31/202022 on 8/17/202022 on 3/31/202122 on 5/7/202122 on 5/26/202122 on 6/2/202122 on 6/9/202122 on 6/30/202122 on 7/9/202122 on 7/14/202122 on 8/13/202122 on 1/25/202222 on 2/14/202220 on 3/31/202220 on 6/2/202220 on 8/10/202220 on 11/17/202220 on 1/10/202326 on 3/20/202326 on 5/2/202326 on 11/29/202340 on 3/8/2024

RAUM, Historic

400M200M0201920202021202220232024202582415836 on 4/18/201982415836 on 5/17/201982415836 on 6/5/201982415836 on 6/12/201982415836 on 6/12/201982415836 on 6/17/201982415836 on 6/17/201982415836 on 8/30/201982415836 on 11/12/201982415836 on 12/12/2019150993750 on 3/19/2020150993750 on 6/30/2020150993750 on 7/31/2020150993750 on 8/17/2020183838869 on 3/31/2021183838869 on 5/7/2021183838869 on 5/26/2021183838869 on 6/2/2021183838869 on 6/9/2021183838869 on 6/30/2021183838869 on 7/9/2021183838869 on 7/14/2021183838869 on 8/13/2021183838869 on 1/25/2022183838869 on 2/14/2022269215780 on 3/31/2022269215780 on 6/2/2022269215780 on 8/10/2022269215780 on 11/17/2022269215780 on 1/10/2023317160000 on 3/20/2023317160000 on 5/2/2023317160000 on 11/29/2023378886034 on 3/8/2024

No. Clients, Historic

90045002019202020212022202320242025176 on 4/18/2019176 on 5/17/2019176 on 6/5/2019176 on 6/12/2019176 on 6/12/2019176 on 6/17/2019176 on 6/17/2019176 on 8/30/2019176 on 11/12/2019176 on 12/12/2019350 on 3/19/2020350 on 6/30/2020350 on 7/31/2020350 on 8/17/2020383 on 3/31/2021383 on 5/7/2021383 on 5/26/2021383 on 6/2/2021383 on 6/9/2021383 on 6/30/2021383 on 7/9/2021383 on 7/14/2021383 on 8/13/2021383 on 1/25/2022383 on 2/14/2022528 on 3/31/2022528 on 6/2/2022528 on 8/10/2022528 on 11/17/2022528 on 1/10/2023657 on 3/20/2023657 on 5/2/2023657 on 11/29/2023819 on 3/8/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 6M 57K –
ABBVIE INC COM 6M 38K –
ABRDN ETFS BBRG ALL COMD K1 19M 924K –
ADVANCED MICRO DEVICES INC COM 1M 7K –
ALPHABET INC CAP STK CL C 1M 8K –
AMAZON COM INC COM 2M 8K –
AMCOR PLC ORD 469K 48K –
APPLE INC COM 2M 9K –
ASML HOLDING N V N Y REGISTRY SHS 1M 1K –
AUTOMATIC DATA PROCESSING IN COM 6M 25K –
BROADCOM INC COM 1M 925 –
CATERPILLAR INC COM 6M 18K –
CHEVRON CORP NEW COM 6M 38K –
CHUBB LIMITED COM 471K 2K –
COCA COLA CO COM 6M 97K –
COLGATE PALMOLIVE CO COM 6M 62K –
COSTCO WHSL CORP NEW COM 1M 2K –
EXXON MOBIL CORP COM 6M 53K –
FRANKLIN ETF TR SHRT DUR US GOVT 3M 30K –
GENERAL DYNAMICS CORP COM 6M 19K –
GOLDMAN SACHS ETF TR ACCES TREASURY 5M 47K –
HOME DEPOT INC COM 413K 1K –
INFOSYS LTD SPONSORED ADR 500K 27K –
INTERNATIONAL BUSINESS MACHS COM 6M 37K –
INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 15M 750K –
ISHARES GOLD TR ISHARES NEW 3M 58K –
ISHARES INC MSCI MLY ETF NEW 2M 68K –
ISHARES INC FRONTIER AND SEL 769K 28K –
ISHARES TR TIPS BD ETF 7M 67K –
ISHARES TR U.S. REAL ES ETF 593K 7K –
ISHARES TR BROAD USD HIGH 3M 79K –
ISHARES TR MSCI POLAND ETF 1M 61K –
ISHARES TR IBOXX HI YD ETF 3M 36K –
ISHARES TR MSCI USA VALUE 2M 23K –
ISHARES TR 7-10 YR TRSY BD 18M 187K –
ISHARES TR CORE US AGGBD ET 17M 173K –
ISHARES TR MSCI EAFE ETF 19M 236K –
JOHNSON & JOHNSON COM 6M 39K –
LINDE PLC SHS 471K 1K –
LOWES COS INC COM 6M 27K –
MASTERCARD INCORPORATED CL A 238K 539 –
MCDONALDS CORP COM 6M 22K –
MEDTRONIC PLC SHS 6M 72K –
META PLATFORMS INC CL A 1M 3K –
MICROSOFT CORP COM 2M 5K –
NEXTERA ENERGY INC COM 6M 82K –
NOVARTIS AG SPONSORED ADR 501K 5K –
NOVO-NORDISK A S ADR 570K 4K –
NVIDIA CORPORATION COM 4M 34K –
PENTAIR PLC SHS 476K 6K –
PEPSICO INC COM 6M 34K –
PIMCO ETF TR 0-5 HIGH YIELD 3M 30K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 710K 14K –
PROCTER AND GAMBLE CO COM 6M 38K –
PROSHARES TR S&P 500 DV ARIST 14M 141K –
S&P GLOBAL INC COM 6M 15K –
SANOFI SPONSORED ADR 471K 10K –
SAP SE SPON ADR 529K 3K –
SCHWAB STRATEGIC TR INT-TRM U.S TRES 2M 45K –
SELECT SECTOR SPDR TR TECHNOLOGY 721K 3K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 644K 4K –
SELECT SECTOR SPDR TR SBI CONS STPLS 638K 8K –
SELECT SECTOR SPDR TR FINANCIAL 673K 16K –
SELECT SECTOR SPDR TR ENERGY 642K 7K –
SELECT SECTOR SPDR TR SBI MATERIALS 606K 7K –
SELECT SECTOR SPDR TR SBI CONS DISCR 619K 3K –
SELECT SECTOR SPDR TR INDL 652K 5K –
SELECT SECTOR SPDR TR SBI INT-UTILS 719K 11K –
SHERWIN WILLIAMS CO COM 6M 19K –
SPDR S&P 500 ETF TR TR UNIT 21M 39K –
SPDR SER TR BLOOMBERG 1-3 MO 21M 231K –
UNILEVER PLC SPON ADR NEW 501K 9K –
UNITEDHEALTH GROUP INC COM 442K 868 –
VANGUARD BD INDEX FDS TOTAL BND MRKT 11M 147K –
VANGUARD BD INDEX FDS SHORT TRM BOND 740K 10K –
VANGUARD INDEX FDS TOTAL STK MKT 16M 60K –
VANGUARD INDEX FDS REAL ESTATE ETF 2M 26K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 10M 128K –
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 5M 57K –
VANGUARD WORLD FD ENERGY ETF 324K 3K –
VANGUARD WORLD FD COMM SRVC ETF 685K 5K –
WALMART INC COM 7M 104K –