CODE WAECHTER LLC
Adviser information for CODE WAECHTER LLC last updated from Form ADV on March 14th, 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 | Florida, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 905 | $279.2M |
| Non-Discretionary | 0 | $0 |
| Total | 905 | $279.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 141 | $31.0M |
| HNW Individuals | 125 | $244.3M |
| 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 | $2.8M |
| 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 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-119308 |
|---|---|
| SEC ERA File Number | 801-119308 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289372 |
| Legal Entity Identifier | None |
Principal Office
4830 W. KENNEDY BLVD.SUITE 875
TAMPA
FL
United States
Monday - Friday, 8 AM - 5 PM
Tel: 813-287-8775, Fax: 813-286-1253
Chief Compliance Officer
LAUREN GRETCHEN
660 NEWTOWN YARDLEY ROAD
SUITE 105
NEWTOWN
PA
United States
Tel:
6463953900
I***@************M
(Full email address available in API data)
Regulatory Contact
JORDAN CODE
4830 W. KENNEDY BLVD.
SUITE 875
TAMPA
FL
United States
Tel:
8132878775
J****@********M
(Full email address available in API data)
Industry Affiliates
| CODE SMITH BENEFITS PLLC | Insurance company or agency |
| CODE WAECHTER FINANCIAL, LLP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Gretchen, Lauren, Gail | Individual | – | CCO | 07/2020 | < 5% |
| CODE WAECHTER HOLDINGS, LLC | Domestic Entity | – | OWNER | 12/2022 | > 75% |
| CODE, JORDAN, PATRICK | Individual | CODE WAECHTER HOLDINGS, LLC | OWNER | 12/2022 | 25-50% |
| WAECHTER, SCOTT, THOMAS | Individual | CODE WAECHTER HOLDINGS, LLC | OWNER | 12/2022 | 25-50% |