WHIPPLEWOOD ADVISORS, LLC
Adviser information for WHIPPLEWOOD ADVISORS, LLC last updated from Form ADV on February 7th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 5 |
| 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 | 346 | $264.1M |
| Non-Discretionary | 3 | $3.3M |
| Total | 349 | $267.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 90 | $34.3M |
| HNW Individuals | 38 | $232.5M |
| 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 | 7 | $603,181 |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-119590 |
|---|---|
| SEC ERA File Number | 801-119590 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282860 |
| Legal Entity Identifier | None |
Principal Office
11852 SHAFFER DRIVEBUILDING B
LITTLETON
CO
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 303-989-7600, Fax: 303-989-5810
Chief Compliance Officer
JOE HUBBARD
11852 SHAFFER DRIVE
BUILDING B
LITTLETON
CO
United States
Tel:
303-989-7600
Fax:
303-989-5810
J**@**********************M
(Full email address available in API data)
Regulatory Contact
RON NEW
DIRECTOR OF OPERATIONS
11852 SHAFFER DRIVE
BUILDING B
LITTLETON
CO
United States
Tel:
303-989-7600
Fax:
303-989-5810
R***@**********************M
(Full email address available in API data)
Industry Affiliates
| WHIPPLEWOOD CPAS, P.C. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUBBARD, JOSEPH, ERNEST | Individual | – | MEMBER, CCO | 02/2020 | 25-50% |
| FEELEY, MONA, LYNN | Individual | – | MEMBER | 01/2016 | 25-50% |
| WHIPPLE, RICHARD, JAY | Individual | – | MEMBER | 01/2016 | 25-50% |