CROSS STATE FINANCIAL GROUP LLC
Adviser information for CROSS STATE FINANCIAL GROUP LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| 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 | 1,060 | $145.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,060 | $145.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 372 | $81.0M |
| HNW Individuals | 33 | $47.8M |
| 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 | 7 | $3.9M |
| Charitable organizations | 7 | $12.0M |
| 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 | $654,780 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-117843 |
|---|---|
| SEC ERA File Number | 801-117843 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282011 |
| Legal Entity Identifier | None |
Principal Office
8421 OSUNA ROAD NESUITE C
ALBUQUERQUE
NM
United States
Monday - Friday, 8:00 AM TO 4:00 PM
Tel: 800-621-6974, Fax: 720-310-8944
Chief Compliance Officer
DANIELLE MUTZ
MANAGING MEMBER
8424 S. YUKON ST.
LITTLETON
CO
United States
Tel:
(800) 621-6974
D***@**********************M
(Full email address available in API data)
Industry Affiliates
| CROSS STATE TAX & FINANCIAL, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| IVERSEN, STEVEN, SCOTT | Individual | – | MEMBER | 12/2015 | 50-75% |
| MUTZ, DANIELLE, ELIZABETH | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 12/2015 | 50-75% |