PATTEN AND PATTEN, INC.
Adviser information for PATTEN AND PATTEN, INC. last updated from Form ADV on March 26th, 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 | Tennessee, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,999 | $1.8B |
| Non-Discretionary | 87 | $102.2M |
| Total | 2,086 | $1.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 646 | $1.7B |
| 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 | 13 | $17.7M |
| Charitable organizations | 32 | $110.9M |
| State or municipal gov entities | <5 | $27.4M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 17 | $54.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 3.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WRAP FEE PROGRAM | RAYMOND JAMES FINANCIAL SERVICES |
Identifiers
| SEC RIA File Number | 801-11499 |
|---|---|
| SEC ERA File Number | 801-11499 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105414 |
| Legal Entity Identifier | 5493006GKGOFDNDEXF42 |
Principal Office
555 WALNUT STREETSUITE 280
CHATTANOOGA
TN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 423.756.3480, Fax: None
Websites
Chief Compliance Officer
STEPHANIE P. GRAHAM
CHIEF FINANCIAL OFFICER
555 WALNUT STREET
SUITE 280
CHATTANOOGA
TN
United States
Tel:
423.424.4108
S******@************M
(Full email address available in API data)
Regulatory Contact
RAYMOND V. RYAN
CEO, PRESIDENT
555 WALNUT STREET
SUITE 280
CHATTANOOGA
TN
United States
Tel:
423.756.3480
R**@************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 |
|---|---|---|---|---|---|
| RYAN, RAYMOND, VINCENT | Individual | – | CHAIRMAN / CHIEF EXECUTIVE OFFICER / PRESIDENT | 02/2005 | 50-75% |
| FLECK, MARK, CHRISTOPHER | Individual | – | PRINCIPAL / PORTFOLIO MANAGER | 03/2015 | 25-50% |
| Decosimo, William, Frederick Austin | Individual | – | PRINCIPAL / PORTFOLIO MANAGER | 01/2019 | 10-25% |
| GRAHAM, STEPHANIE, P | Individual | – | PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | 01/2019 | 5-10% |