HAUSER RETIREMENT SOLUTIONS 2 LLC
Adviser information for HAUSER RETIREMENT SOLUTIONS 2 LLC last updated from Form ADV on March 22nd, 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 | Wyoming, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 0 | $0 |
| Non-Discretionary | 89 | $965.7M |
| Total | 89 | $965.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 89 | $965.7M |
| 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 | 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 | Pension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-117147 |
|---|---|
| SEC ERA File Number | 801-117147 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299959 |
| Legal Entity Identifier | None |
Principal Office
5905 E GALBRAITH RD, SUITE 9000CINCINNATI
OH
United States
Monday - Friday, 8 AM TO 5 PM EST
Tel: 513-745-9200, Fax: 513-984-7092
Websites
Chief Compliance Officer
ANDY WARNING
CCO
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel:
5138325463
A***********@*****************************M
(Full email address available in API data)
Regulatory Contact
KATE TUBESING
MANAGING DIRECTOR
5905 E. GALBRAITH ROAD
SUITE 9000
CINCINNATI
OH
United States
Tel:
513-984-7010
K********@*****************M
(Full email address available in API data)
Industry Affiliates
| HAUSER CAPITAL MARKETS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HAUSER, INC. | Insurance company or agency |
| HPE CAPITAL MANAGEMENT II, LLC | Other investment adviser, including financial planners |
| HPE INVESTMENT 3.5, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HPE INVESTMENT III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HPE INVESTMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAUSER, MARK, JOHN | Individual | – | CHAIRMAN | 07/2018 | < 5% |
| HAUSER, MARK, JOHN | Individual | HAUSER, MARK, JOHN | INDIVIDUAL | 12/1995 | 50-75% |
| HAUSER, INC. | Domestic Entity | – | MEMBER | 07/2018 | > 75% |
| MARK HAUSER, TRUSTEE OF THE MELISSA JANE HAUSER IRREVOCABLE TRUST | Domestic Entity | HAUSER, INC. | TRUST | 12/2012 | |
| MARK HAUSER, TRUSTEE OF THE NICOLE WELLS HAUSER IRREVOCABLE TRUST | Domestic Entity | HAUSER, INC. | TRUST | 12/2012 | |
| MARK HAUSER, TRUSTEE OF THE KATHERYN GRACE HAUSER IRREVOCABLE TRUST | Domestic Entity | HAUSER, INC. | TRUST | 12/2012 | |
| MARK HAUSER, TRUSTEE OF THE ARTHUR ERIC HAUSER IRREVOCABLE TRUST | Domestic Entity | HAUSER, INC. | TRUST | 12/2012 | |
| WARNING, ANDREW, S | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2020 | < 5% |
| TUBESING, EMILY, KATE | Individual | – | MANAGING DIRECTOR | 02/2022 | < 5% |