CLARIS FINANCIAL, LLC
Adviser information for CLARIS FINANCIAL, 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 | Virginia, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 948 | $212.1M |
| Non-Discretionary | 82 | $19.8M |
| Total | 1,030 | $231.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 490 | $95.6M |
| HNW Individuals | 88 | $130.0M |
| 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 | <5 | $3.0M |
| Charitable organizations | <5 | $3.4M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-115295 |
|---|---|
| SEC ERA File Number | 801-115295 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168503 |
| Legal Entity Identifier | None |
Principal Office
4510 COX RD.SUITE 302
GLEN ALLEN
VA
United States
Monday - Friday, 8:30 - 5:00
Tel: 804-935-3000, Fax: 804-273-0262
Chief Compliance Officer
JOHN PAXTON
PRESIDENT
4510 COX RD.
SUITE 302
GLEN ALLEN
VA
United States
Tel:
804-935-3000
Fax:
804-273-0262
J**********@******************M
(Full email address available in API data)
Regulatory Contact
KATY OLIVER
REGISTERED CLIENT ASSOCIATE
4510 COX RD.
SUITE 302
GLEN ALLEN
VA
United States
Tel:
804-935-3000
K**********@******************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 |
|---|---|---|---|---|---|
| HALL, BRIAN, ROBERT | Individual | – | INVESTOR AND CONSULTANT | 06/2012 | 10-25% |
| DENNIS, PATRICK, MEDARD | Individual | – | INVESTOR | 06/2012 | 10-25% |
| PAXTON, JOHN, FAULKNER | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2009 | 50-75% |