MOSS, LUSE & WOMBLE, LLC
Adviser information for MOSS, LUSE & WOMBLE, LLC last updated from Form ADV on March 21st, 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 | 36 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 18 |
| 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 | 1,867 | $435.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1,867 | $435.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 265 | $133.2M |
| HNW Individuals | 153 | $302.4M |
| 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 | 134 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-114973 |
|---|---|
| SEC ERA File Number | 801-114973 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152841 |
| Legal Entity Identifier | None |
Principal Office
5160 TENNYSON PARKWAYSUITE 2000W
PLANO
TX
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 972-674-2584, Fax: 469-461-5751
Chief Compliance Officer
JEFFREY M. MOSS
PARTNER
5160 TENNYSON PARKWAY
SUITE 2000W
ADDISON
TX
United States
Tel:
972-674-2584
Fax:
469-461-5751
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 |
|---|---|---|---|---|---|
| MOSS, JEFFREY, MATTHEW | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2010 | < 5% |
| MOSS MLW, LLC | Domestic Entity | – | MEMBER | 12/2012 | 25-50% |
| LUSE MLW, LLC | Domestic Entity | – | MEMBER | 01/2013 | 25-50% |
| WOMBLE MLW, LLC | Domestic Entity | – | MEMBER | 01/2013 | 25-50% |
| MOSS, JEFFREY, MATTHEW | Individual | MOSS MLW, LLC | MEMBER | 11/2012 | > 75% |
| LUSE, JASON, STANTON | Individual | LUSE MLW, LLC | MEMBER | 11/2012 | > 75% |
| WOMBLE, MICHAEL, AVERY | Individual | WOMBLE MLW, LLC | MEMBER | 11/2012 | > 75% |