MARYGOLD & CO. ADVISORY SERVICES, LLC
Adviser information for MARYGOLD & CO. ADVISORY SERVICES, LLC last updated from Form ADV on September 20th, 2023. 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 27 | $8,964 |
| Total | 27 | $8,964 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27 | $8,964 |
| HNW Individuals | 0 | $0 |
| 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 businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119523 |
|---|---|
| SEC ERA File Number | 801-119523 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310439 |
| Legal Entity Identifier | None |
Principal Office
3530 EYRE HALL PASSNEW ALBANY
OH
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: (937) 481-1211, Fax: None
Chief Compliance Officer
NICHOLAS GERBER
CEO
2 INVERNESS DRIVE EAST
#187
CENTENNIAL
CO
United States
Tel:
(720) 779-1200
N******@****************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY ROONEY
PRESIDENT
3530 EYRE HALL PASS
NEW ALBANY
OH
United States
Tel:
614-282-0431
T******@****************M
(Full email address available in API data)
Industry Affiliates
| TIGER FINANCIAL & ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| USCF ADVISERS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| USCF INVESTMENTS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROONEY, TIMOTHY, MICHAEL | Individual | – | PRESIDENT, COO, SECRETARY, DIRECTOR | 08/2020 | < 5% |
| MARYGOLD & CO. | Domestic Entity | – | OWNER | 08/2020 | > 75% |
| THE MARYGOLD COMPANIES, INC. | Domestic Entity | MARYGOLD & CO. | SHAREHOLDER | 11/2019 | > 75% |
| GERBER, NICHOLAS, DANIEL | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR | 08/2020 | < 5% |
| CRUMBAUGH, STUART | Individual | – | TREASURER | 10/2022 | < 5% |
| NEIBERT, DAVID, WAYNE | Individual | – | DIRECTOR | 11/2022 | < 5% |