CONVERGENCE FINANCIAL
CONVERGENCE FINANCIAL, LLC Legal Name
Adviser information for CONVERGENCE FINANCIAL last updated from Form ADV on January 18th, 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 | 22 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,036 | $245.0M |
| Non-Discretionary | 682 | $53.1M |
| Total | 2,718 | $298.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,498 | $152.2M |
| HNW Individuals | 279 | $140.9M |
| 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 | <5 | $771,679 |
| Charitable organizations | 13 | $2.9M |
| 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 | <5 | $1.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 245.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CONVERGENCE FINANCIAL WRAP FEE PROGRAM | CONVERGENCE FINANCIAL |
Identifiers
| SEC RIA File Number | 801-116738 |
|---|---|
| SEC ERA File Number | 801-116738 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304146 |
| Legal Entity Identifier | None |
Principal Office
3919 S. PROVIDENCE ROADCOLUMBIA
MO
United States
Monday - Friday, 8-5
Tel: (573) 818-2264, Fax: (573) 826-4488
Websites
www.commercialtrustfs.com
www.linkedin.com/in/travis-cook-cfp%c2%ae-cmfc%c2%ae-aa5449b0/
www.linkedin.com/in/kyle-elliott-ab9a38b2
www.linkedin.com/in/robert-braun-940975b0
www.twitter.com/traviscook13
convergencemn.com/
www.convergencefinancial-kc.com
www.linkedin.com/in/tyler-hoffmann-mba-23566146/
www.facebook.com/travis.convergence
www.convergence-financial.com/
Chief Compliance Officer
WILLIAM LITTRELL
3919 S. PROVIDENCE RD
COLUMBIA
MO
United States
Tel:
(573) 818-2264
W***@*****************M
(Full email address available in API data)
Regulatory Contact
TRAVIS E. COOK
CEO
3919 S PROVIDENCE
COLUMBIA
MO
United States
Tel:
(573) 818-2264
Fax:
(573) 826-4488
T*****@************************M
(Full email address available in API data)
Industry Affiliates
| CONVERGENCE ACCOUNTING | Accountant or accounting firm |
| CONVERGENCE INSURANCE | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COOK, TRAVIS, EARL | Individual | – | CEO AND MEMBER | 04/2019 | > 75% |
| GLHC, LLC | Domestic Entity | – | MEMBER | 04/2019 | 10-25% |
| DELANEY, CONOR, FRANCIS | Individual | GLHC, LLC | MEMBER | 04/2019 | 50-75% |
| HOFFMANN, TYLER, STEPHEN | Individual | – | PRESIDENT | 01/2023 | < 5% |
| LITTRELL, WILLIAM, PAINTER | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |