MONARCH WEALTH STRATEGIES
Adviser information for MONARCH WEALTH STRATEGIES last updated from Form ADV on March 22nd, 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| 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 | 925 | $336.8M |
| Non-Discretionary | 0 | $0 |
| Total | 925 | $336.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 230 | $70.6M |
| HNW Individuals | 163 | $252.7M |
| 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 | <5 | $9.0M |
| Charitable organizations | <5 | $2.3M |
| 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 | $2.2M |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-118775 |
|---|---|
| SEC ERA File Number | 801-118775 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136029 |
| Legal Entity Identifier | None |
Principal Office
222 EAST CARILLO STREETSUITE 208
SANTA BARBARA
CA
United States
Monday - Friday, 8:00 A.M. - 4:00 P.M.
Tel: (805) 564-0800, Fax: (805) 564-0808
Chief Compliance Officer
AARON CLARK
PRESIDENT
222 EAST CARILLO STREET
SUITE 208
SANTA BARBARA
CA
United States
Tel:
(805) 564-0800
Fax:
(805) 564-0808
A****@********M
(Full email address available in API data)
Regulatory Contact
NICOLE ALLEN
WEALTH ADVISOR
222 EAST CARILLO STREET
SUITE 208
SANTA BARBARA
CA
United States
Tel:
(805) 564-0800
Fax:
(805) 564-0808
N*****@********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 |
|---|---|---|---|---|---|
| CLARK, AARON, JEFFREY | Individual | – | PRESIDENT/CCO | 09/2008 | < 5% |
| CLARK, AARON, JEFFREY | Individual | THE OUROBOROS REVOCABLE TRUST | TRUSTEE | 09/2018 | > 75% |
| THE OUROBOROS REVOCABLE TRUST | Domestic Entity | – | OWNER | 09/2018 | > 75% |