PWA FINANCIAL
Adviser information for PWA FINANCIAL last updated from Form ADV on February 21st, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,025 | $232.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,025 | $232.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 441 | $109.5M |
| HNW Individuals | 63 | $122.9M |
| 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 | 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119127 |
|---|---|
| SEC ERA File Number | 801-119127 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165369 |
| Legal Entity Identifier | None |
Principal Office
503 E WASHINGTON AVE.SUITE 1B
NEWTOWN
PA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (215) 710-0737, Fax: (877) 576-7242
Chief Compliance Officer
MICHAEL DAVID CARLUCCI
PRINCIPAL/COMPLIANCE OFFICER
503 E WASHINGTON AVE.
SUITE 1B
NEWTOWN
PA
United States
Tel:
(215) 710-0737
M*@***************M
(Full email address available in API data)
Regulatory Contact
KENNETH CHARLES CONIGLIO
PRINCIPAL/TREASURER/SECRETARY
503 E WASHINGTON AVE.
SUITE 1B
NEWTOWN
PA
United States
Tel:
(215) 710-0737
K*@***************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 |
|---|---|---|---|---|---|
| CARLUCCI, MICHAEL, DAVID | Individual | – | PRINCIPAL/CHIEF COMPLIANCE OFFICER | 08/2012 | 25-50% |
| CONIGLIO, KENNETH, CHARLES | Individual | – | PRINCIPAL/TREASURER/SECRETARY | 08/2012 | 25-50% |
| CARLUCCI, JAMES, MICHAEL | Individual | – | OWNER | 07/2013 | 5-10% |
| CONIGLIO, VIRGINIA, MARY | Individual | – | OWNER | 07/2013 | 5-10% |