STATHEROS FINANCIAL SOLUTIONS, INC.
Adviser information for STATHEROS FINANCIAL SOLUTIONS, INC. last updated from Form ADV on March 27th, 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 | California, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,294 | $705.2M |
| Non-Discretionary | 0 | $0 |
| Total | 1,294 | $705.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 406 | $104.8M |
| HNW Individuals | 145 | $315.5M |
| 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 | 68 | $277.4M |
| 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 | $7.5M |
| 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 AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BETTERMENT WRAP FEE PROGRAM | BETTERMENT |
Identifiers
| SEC RIA File Number | 801-117649 |
|---|---|
| SEC ERA File Number | 801-117649 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306217 |
| Legal Entity Identifier | None |
Principal Office
1107 INVESTMENT BLVD., STE. 135EL DORADO HILLS
CA
United States
Monday - Friday, 8:00 - 3:00PM
Tel: 916-932-1219, Fax: None
Chief Compliance Officer
KELLY ROEMERS
CFO
2107 N. 1ST STREET
SUITE 415
SAN JOSE
CA
United States
Tel:
408-871-1590
K****@*********************M
(Full email address available in API data)
Regulatory Contact
JACOB PARSONS
PRESIDENT
1107 INVESTMENT BLVD.
SUITE 135
EL DORADO HILLS
CA
United States
Tel:
916-932-1219
J***@*********************M
(Full email address available in API data)
Industry Affiliates
| GREGORY ALLEN PETERSON | Accountant or accounting firm |
| MICHAEL L. ROBERTS | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROEMERS, KELLY, L. | Individual | – | CCO/CFO | 08/2019 | 10-25% |
| PARSONS, JACOB, RICHARD | Individual | – | PRESIDENT & CEO | 08/2019 | > 75% |