ROWLING & ASSOCIATES LLC
Adviser information for ROWLING & ASSOCIATES LLC last updated from Form ADV on March 26th, 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 | 16 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,088 | $512.8M |
| Non-Discretionary | 150 | $32.3M |
| Total | 1,238 | $545.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 242 | $88.0M |
| HNW Individuals | 119 | $450.1M |
| 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 | $7.0M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
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 |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-118761 |
|---|---|
| SEC ERA File Number | 801-118761 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 308292 |
| Legal Entity Identifier | None |
Principal Office
8889 RIO SAN DIEGO DRIVE,SUITE 202
SAN DIEGO
CA
United States
Monday - Friday, M-TH: 8AM TO 5PM; FRI: 8AM TO 1PM
Tel: 619 295 0200, Fax: 619-295-0210
Chief Compliance Officer
JUAN AGUILAR
DIRECTOR OF OPERATIONS
8889 RIO SAN DIEGO DR.
STE 202
SAN DIEGO
CA
United States
Tel:
619-295-0200
Fax:
619-295-0210
J***@**********M
(Full email address available in API data)
Regulatory Contact
LORENZO SANCHEZ
DIRECTOR OF WEALTH MANAGEMENT
8889 RIO SAN DIEGO DR.
STE 202
SAN DIEGO
CA
United States
Tel:
619-295-0200
Fax:
619-295-0210
L******@**********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 |
|---|---|---|---|---|---|
| Sanchez Lopez, Lorenzo, Andres | Individual | – | MANAGING MEMBER | 02/2020 | 25-50% |
| Weisinger, Tara, Michelle | Individual | – | MANAGING MEMBER | 02/2020 | 25-50% |
| AGUILAR, JUAN, BERNARDO | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 02/2020 | 25-50% |