ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT
CLEROU ROMAIN PIERRE WALSH Legal Name
Adviser information for ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT last updated from Form ADV on March 8th, 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 43 | $163.2M |
| Non-Discretionary | 0 | $0 |
| Total | 43 | $163.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $3.9M |
| HNW Individuals | 30 | $159.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-117755 |
|---|---|
| SEC ERA File Number | 801-117755 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111081 |
| Legal Entity Identifier | None |
Principal Office
396 BROWN STREETNAPA
CA
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 707-938-2220, Fax: None
Chief Compliance Officer
ROMAIN CLEROU
OWNER
396 BROWN STREET
NAPA
CA
United States
Tel:
707-938-2220
C*********@*********M
(Full email address available in API data)
Regulatory Contact
ELIZABETH CLEROU
ADMINISTRATIVE ASSISTANT
473 4TH STREET EAST
SONOMA
CA
United States
Tel:
707-331-4708
E**************@**********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 |
|---|---|---|---|---|---|
| CLEROU, ROMAIN, PIERRE WALSH | Individual | – | OWNER/CHIEF COMPLIANCE OFFICER | 02/1990 | > 75% |