BIRKS FINANCIAL CORP.
Adviser information for BIRKS FINANCIAL CORP. last updated from Form ADV on March 7th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 0 | $0 |
| Non-Discretionary | 447 | $196.6M |
| Total | 447 | $196.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 62 | $22.2M |
| HNW Individuals | 67 | $174.4M |
| 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 | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114987 |
|---|---|
| SEC ERA File Number | 801-114987 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118623 |
| Legal Entity Identifier | None |
Principal Office
431-A CARLISLE DRIVEHERNDON
VA
United States
Monday - Friday, BY APPOINTMENT
Tel: 703-481-6202, Fax: 703-659-9595
Chief Compliance Officer
JAMES M. BIRKS
PRESIDENT
431-A CARLISLE DRIVE
HERNDON
VA
United States
Tel:
703-481-6202
Fax:
703-659-9595
J**@*****************M
(Full email address available in API data)
Regulatory Contact
VICTORIA BIRKS
CHIEF OPERATIONS OFFICER
431-A CARLISLE DRIVE
HERNDON
VA
United States
Tel:
703-481-6202
Fax:
703-659-9595
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 |
|---|---|---|---|---|---|
| BIRKS, JAMES, MICHAEL | Individual | – | PRESIDENT/DIRECTOR/CCO | 11/1995 | > 75% |
| Birks, James, Douglas | Individual | – | VICE PRESIDENT | 01/2023 | 10-25% |