CERTEZA FUND ADVISORS LLC
Adviser information for CERTEZA FUND ADVISORS LLC last updated from Form ADV on August 16th, 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 | DECEMBER |
| Legal Location | Utah, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $20.2M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $20.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| 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 | 1 | $20.2M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119809 |
|---|---|
| SEC ERA File Number | 801-119809 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310848 |
| Legal Entity Identifier | None |
Principal Office
565 W 465 NSUITE 150
PROVIDENCE
UT
United States
Monday - Friday, 9:00 AM -5:00 PM
Tel: 435-760-0923, Fax: None
Chief Compliance Officer
BRETT NELSON
CIO
565 W 465 N
SUITE 150
PROVIDENCE
UT
United States
Tel:
(435) 760-0923
B***********@*************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 |
|---|---|---|---|---|---|
| CERTEZA ASSET MANAGEMENT LLC | Domestic Entity | – | MANAGING MEMBER | 07/2020 | > 75% |
| NELSON, BRETT, RONALD | Individual | – | CHIEF INVESTMENT OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | 07/2020 | < 5% |
| NELSON, BRETT, RONALD | Individual | CERTEZA ASSET MANAGEMENT LLC | FOUNDER/OWNER | 07/2020 | > 75% |