WERNAU ASSET MANAGEMENT
WERNAU ASSET MANAGEMENT INC. Legal Name
Adviser information for WERNAU ASSET MANAGEMENT last updated from Form ADV on February 9th, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 221 | $170.0M |
| Non-Discretionary | 0 | $0 |
| Total | 221 | $170.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 32 | $8.1M |
| HNW Individuals | 70 | $148.1M |
| 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 | <5 | $13.9M |
| 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 | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsCONSULTING AND FAMILY OFFICE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-118713 |
|---|---|
| SEC ERA File Number | 801-118713 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 129473 |
| Legal Entity Identifier | None |
Principal Office
30 WESTERN AVESUITE 206
GLOUCESTER
MA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 617-871-0029, Fax: 617-507-8155
Websites
Chief Compliance Officer
JONATHAN L. IANNACONE
MANAGING DIRECTOR
30 WESTERN AVE
SUITE 206
GLOUCESTER
MA
United States
Tel:
978-325-1620
Fax:
617-507-8155
J*********@************************M
(Full email address available in API data)
Regulatory Contact
PETER C. WERNAU
PRESIDENT/CEO
30 WESTERN AVE
SUITE 206
GLOUCESTER
MA
United States
Tel:
617-871-0029
Fax:
617-507-8155
P******@************************M
(Full email address available in API data)
Industry Affiliates
| APRICOT CAPITAL LLC | Sponsor, GP, manager of pooled investment vehicles |
| DARTMOUTH STREET VENTURES LP | Sponsor, GP, manager of pooled investment vehicles |
| FISH CITY CAPITAL LLC | Sponsor, GP, manager of pooled investment vehicles |
| VERGE ADVISORS 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 |
|---|---|---|---|---|---|
| WERNAU, PETER, CHRISTOPHER | Individual | – | PRESIDENT/CEO | 10/2003 | > 75% |
| IANNACONE, JONATHAN, LOUIS | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2019 | < 5% |