CARDEA CAPITAL GROUP, INC.
Adviser information for CARDEA CAPITAL GROUP, INC. last updated from Form ADV on March 30th, 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 | 2 |
|---|---|
| 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 | 25 | $21.1M |
| Non-Discretionary | 3 | $1.3M |
| Total | 28 | $22.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2 | $1.0M |
| HNW Individuals | 16 | $21.4M |
| 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 | 80 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)INSTITUTIONAL INVESTMENT CONSULTING SERVICES |
|---|---|
| Compensation | % of AUM |
Principal Office
3350 RIVERWOOD PARKWAYSUITE 2215
ATLANTA
GA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 770-977-7779, Fax: 770-234-5754
Chief Compliance Officer
STEPHEN PHILP
CHIEF COMPLIANCE OFFICER
3350 RIVERWOOD PARKWAY
SUITE 2215
ATLANTA
GA
United States
Tel:
7709777779
S************@************M
(Full email address available in API data)
Industry Affiliates
| CARDEA CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Raez, Alfredo | Individual | – | CHIEF FINANCIAL OFFICER | 11/2020 | < 5% |
| CARDEA HOLDINGS USA LLC | Domestic Entity | – | SHAREHOLDER | 10/2021 | > 75% |
| CARDEA CORPORATE HOLDINGS, INC. | Domestic Entity | CARDEA HOLDINGS USA LLC | SHAREHOLDER | 10/2021 | > 75% |
| WARING, JORDAN, WHITNEY | Individual | CARDEA CORPORATE HOLDINGS, INC. | SHAREHOLDER | 04/2021 | 50-75% |
| JACKSON, KENNETH, R | Individual | – | CHIEF OPERATING OFFICER | 09/2022 | < 5% |
| BORCHARDT, KENDALL, SAVAGE | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2023 | < 5% |
| PHILP, STEPHEN, DAIN | Individual | – | CCO | 02/2023 | < 5% |