ASSETGRADE, LLC
Adviser information for ASSETGRADE, LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 686 | $250.7M |
| Non-Discretionary | 4 | $4.1M |
| Total | 690 | $254.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 62 | $26.1M |
| HNW Individuals | 92 | $220.1M |
| 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 | 6 | $8.3M |
| Charitable organizations | <5 | $50,011 |
| 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 | $290,178 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119499 |
|---|---|
| SEC ERA File Number | 801-119499 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168779 |
| Legal Entity Identifier | None |
Principal Office
ONE BOSTON PLACE201 WASHINGTON, SUITE 2600
BOSTON
MA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 617-933-7257, Fax: 617-249-0928
Chief Compliance Officer
SUSAN L. POWERS
CHIEF COMPLIANCE OFFICER
ONE ALLIANCE CENTER, 3500 LENOX RD
SUITE 1500
ATLANTA
GA
United States
Tel:
(404) 720-8220
Fax:
404-581-5407
S***********@*************M
(Full email address available in API data)
Regulatory Contact
PATRICK COTE
FOUNDING PARTNER
ONE BOSTON PLACE
201 WASHINGTON, SUITE 2600
BOSTON
MA
United States
Tel:
617-933-7257
Fax:
617-249-0928
P***********@*************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 |
|---|---|---|---|---|---|
| POWERS, SUSAN, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER AND OWNER | 08/2015 | 25-50% |
| HENNESSY, KATHERINE, W | Individual | – | OWNER | 12/2017 | 5-10% |
| PATRICK COTE CORP. | Domestic Entity | – | OWNER | 01/2020 | 25-50% |
| COTE, PATRICK, R | Individual | PATRICK COTE CORP. | OWNER | 01/2020 | > 75% |