MONTEREY WEALTH
MONTEREY WEALTH PARTNERS LLC Legal Name
Adviser information for MONTEREY WEALTH last updated from Form ADV on January 16th, 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 | Georgia, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 260 | $101.3M |
| Non-Discretionary | 51 | $176.6M |
| Total | 311 | $277.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 77 | $20.4M |
| HNW Individuals | 26 | $80.9M |
| 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 | 28 | $176.3M |
| 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 | $300,000 |
| 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-118647 |
|---|---|
| SEC ERA File Number | 801-118647 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172577 |
| Legal Entity Identifier | None |
Principal Office
200 ASHFORD CENTER NORTHSUITE 310
ATLANTA
GA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 404-201-2284, Fax: 404-446-2998
Chief Compliance Officer
DAVID DUNCAN
CHIEF COMPLIANCE OFFICER
200 ASHFORD CENTER NORTH
SUITE 310
ATLANTA
GA
United States
Tel:
404-201-2284
Fax:
404-446-2998
D****@********M
(Full email address available in API data)
Regulatory Contact
JAY COHEN
PRESIDENT
200 ASHFORD CENTER NORTH
SUITE 310
ATLANTA
GA
United States
Tel:
404-201-2284
J**@********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 |
|---|---|---|---|---|---|
| COHEN, JAY, WILLIAM | Individual | – | PRESIDENT | 05/2020 | < 5% |
| DUNCAN, DAVID, E | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| MONTEREY FINANCIAL PARTNERS, INC. | Domestic Entity | – | OWNER | 12/2022 | > 75% |
| DUNCAN FINANCIAL PARTNERS, INC. | Domestic Entity | – | OWNER | 12/2022 | 10-25% |
| COHEN, JAY, WILLIAM | Individual | MONTEREY FINANCIAL PARTNERS, INC. | OWNER | 12/2022 | > 75% |
| DUNCAN, DAVID, E | Individual | DUNCAN FINANCIAL PARTNERS, INC. | OWNER | 12/2022 | > 75% |