SANFORD ADVISORY
SANFORD ADVISORY SERVICES, LLC Legal Name
Adviser information for SANFORD ADVISORY last updated from Form ADV on March 30th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
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 | 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesASSETS UNDER ADVISEMENT |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-119924 |
|---|---|
| SEC ERA File Number | 801-119924 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151388 |
| Legal Entity Identifier | None |
Principal Office
590 W. CENTRE AVENUEPORTAGE
MI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 269-488-6900, Fax: 269-488-6100
Chief Compliance Officer
LORI J. BUMGART
590 W. CENTRE AVENUE
PORTAGE
MI
United States
Tel:
(269)488-6900
Fax:
(269)488-6100
L*******@*****************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 |
|---|---|---|---|---|---|
| SANFORD, TODD, ARTHUR | Individual | – | MANAGING MEMBER | 08/2009 | < 5% |
| WILLIAMS, SCOTT, MICHAEL | Individual | – | MEMBER | 08/2009 | < 5% |
| KERSTETTER, BRENT, WALTER | Individual | – | MEMBER | 08/2009 | < 5% |
| BUMGART, LORI, JO | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2020 | < 5% |
| MERCER GLOBAL ADVISORS INC. | Domestic Entity | – | PARENT COMPANY | 04/2022 | > 75% |