7 STREETS FINANCIAL, LLC
Adviser information for 7 STREETS FINANCIAL, 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 | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 270 | $88.4M |
| Non-Discretionary | 0 | $0 |
| Total | 270 | $88.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 240 | $63.4M |
| HNW Individuals | 30 | $25.0M |
| 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 | 88400000 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 88.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| 7 STREETS WRAP PROGRAM | 7 STREETS FINANCIAL, LLC |
Identifiers
| SEC RIA File Number | 801-117850 |
|---|---|
| SEC ERA File Number | 801-117850 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282577 |
| Legal Entity Identifier | None |
Principal Office
8372 UNIVERSITY AVESAN DIEGO
CA
United States
Monday - Friday, 9AM-4PM
Tel: 619-798-3372, Fax: None
Chief Compliance Officer
JOE DUCA
VICE PRESIDENT
2222 2ND STREET
SUITE 14
LIVERMORE
CA
United States
Tel:
925-804-6385
Fax:
925-380-6095
J*******@******M
(Full email address available in API data)
Regulatory Contact
TRAVIS LEWIS
PRESIDENT
8372 UNIVERSITY AVE
LA MESA
CA
United States
Tel:
619-798-3372
Fax:
619798-3376
T***********@******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 |
|---|---|---|---|---|---|
| LEWIS, TRAVIS, SHAWN | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2015 | < 5% |
| DUCA, JOSEPH, RAY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2015 | < 5% |
| JOE DUCA FINANCIAL SERVICES, INC | Domestic Entity | – | OWNER | 11/2015 | 50-75% |
| TRAVIS LEWIS FINANCIAL ADVISOR, INC | Domestic Entity | – | OWNER | 11/2015 | 50-75% |
| LEWIS, TRAVIS, SHAWN | Domestic Entity | TRAVIS LEWIS FINANCIAL ADVISOR, INC | OWNER | 07/2011 | > 75% |
| DUCA, JOE RAY | Domestic Entity | JOE DUCA FINANCIAL SERVICES, INC | OWNER | 07/2011 | > 75% |