FUTU WEALTH ADVISORS, INC.
Adviser information for FUTU WEALTH ADVISORS, INC. last updated from Form ADV on January 31st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning 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 AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-119635 |
|---|---|
| SEC ERA File Number | 801-119635 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310790 |
| Legal Entity Identifier | None |
Principal Office
550 S CALIFORNIA AVESUITE 200
PALO ALTO
CA
United States
BY APPOINTMENT, 10 AM - 1PM
Tel: 650-798-5700, Fax: None
Websites
Chief Compliance Officer
VICKRAMJIT SHARMA
550 S CALIFORNIA AVE
SUITE 200
PALO ALTO
CA
United States
Tel:
650-319-3403
V******@************M
(Full email address available in API data)
Regulatory Contact
ALEX M CATARROJA
ADVISORY PRINCIPAL
550 S CALIFORNIA AVE
SUITE 200
PALO ALTO
CA
United States
Tel:
650-800-9335
A*********@************M
(Full email address available in API data)
Industry Affiliates
| FUTU CLEARING INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FUTU FUTURES INC | Futures commission merchant |
| MOOMOO FINANCIAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Sharma, Vickramjit | Individual | – | CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER | 07/2020 | < 5% |
| FUTU US, INC. | Domestic Entity | – | SHAREHOLDER | 07/2020 | > 75% |
| FUTU HOLDINGS LTD | Foreign Entity | FUTU US, INC. | SHAREHOLDER | 07/2020 | > 75% |
| Chan, Wing Kei | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2020 | < 5% |
| LERA INFINITY LIMITED TRUST | Foreign Entity | FUTU HOLDINGS LTD | SHAREHOLDER | 12/2019 | 25-50% |
| CATARROJA, ALEX, M. | Individual | – | ADVISORY PRINCIPAL | 08/2023 | < 5% |