SETCHFIELD ASSET MANAGEMENT
SETCHFIELD ASSOCIATES LLC Legal Name
Adviser information for SETCHFIELD ASSET MANAGEMENT last updated from Form ADV on March 10th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 248 | $135.0M |
| Non-Discretionary | 2 | $5.0M |
| Total | 250 | $140.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $67.0M |
| HNW Individuals | 50 | $70.0M |
| 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 | 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 | <5 | $3.0M |
| 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 businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-116770 |
|---|---|
| SEC ERA File Number | 801-116770 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113289 |
| Legal Entity Identifier | None |
Principal Office
392 ARUBA CIRCLEUNIT 101
BRADENTON
FL
United States
Monday - Friday, 7:30-2:00
Tel: 303-627-1099, Fax: None
Chief Compliance Officer
STEVE SETCHFIELD
OWNER/INVESTMENT ADVISOR REP.
392 ARUBA CIRCLE
BRADENTON
FL
United States
Tel:
303-627-1099
S****@***************M
(Full email address available in API data)
Regulatory Contact
MARK BELL
COMPLIANCE CONSULTANT
3210 S GILPIN ST
ENGLEWOOD
CO
United States
Tel:
303-884-5476
M***@********************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 |
|---|---|---|---|---|---|
| SETCHFIELD, STEVEN, TERRY | Individual | – | OWNER/CHIEF COMPLIANCE OFFICER | 01/1998 | 50-75% |
| Jacobs, Cindi | Individual | – | MEMBER | 08/2006 | 50-75% |