TURNING POINT FINANCIAL
TURNING POINT BENEFIT GROUP, INC. Legal Name
Adviser information for TURNING POINT FINANCIAL last updated from Form ADV on March 19th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,836 | $310.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,836 | $310.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 997 | $163.6M |
| HNW Individuals | 75 | $145.5M |
| 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 | <5 | $160,098 |
| 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 | 12 | $759,870 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| 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 |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-116895 |
|---|---|
| SEC ERA File Number | 801-116895 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301282 |
| Legal Entity Identifier | None |
Principal Office
7210 CORPORATE CT.STE A
FREDERICK
MD
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 301-846-9336, Fax: 301-732-5549
Websites
Chief Compliance Officer
ALEXANDRA STICKELMAN
CHIEF COMPLIANCE OFFICER
7210 CORPORATE CT.
STE A
FREDERICK
MD
United States
Tel:
301-846-9336
Fax:
301-732-5549
A***@**************M
(Full email address available in API data)
Regulatory Contact
MARY K TROXELL
PRESIDENT & SHAREHOLDER
7210 CORPORATE CT.
STE A
FREDERICK
MD
United States
Tel:
301-846-9336
Fax:
301-732-5549
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 |
|---|---|---|---|---|---|
| TROXELL, MARY, KATHLEEN | Individual | – | PRESIDENT & SHAREHOLDER | 01/1994 | > 75% |
| STICKELMAN, ALEXANDRA, ROSE | Individual | – | CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS | 10/2014 | < 5% |