STAVIS & COHEN PRIVATE WEALTH, LLC
Adviser information for STAVIS & COHEN PRIVATE WEALTH, LLC last updated from Form ADV on March 1st, 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 | Delaware, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 902 | $679.9M |
| Non-Discretionary | 273 | $74.0M |
| Total | 1,175 | $753.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 139 | $49.4M |
| HNW Individuals | 142 | $704.5M |
| 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 | 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 | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSOLICITOR FEES |
Identifiers
| SEC RIA File Number | 801-120239 |
|---|---|
| SEC ERA File Number | 801-120239 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312366 |
| Legal Entity Identifier | None |
Principal Office
1330 POST OAK BOULEVARDSUITE 2190
HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 713-275-7750, Fax: 713-275-7770
Chief Compliance Officer
LARRY NAKAMURA
CHIEF INVESTMENT OFFICER
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
3057813040
L********@*****M
(Full email address available in API data)
Regulatory Contact
SCOTT AKINS
GENERAL COUNSEL
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
2148937131
S*****@*****M
(Full email address available in API data)
Industry Affiliates
| CI PRIVATE WEALTH | Other investment adviser, including financial planners |
| STAVIS & COHEN PRIVATE WEALTH | 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 |
|---|---|---|---|---|---|
| STAVIS, DEBORAH, MCCULLY | Individual | – | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 08/2009 | < 5% |
| COHEN, HARRY, EDWARD | Individual | – | CHIEF INVESTMENT OFFICER | 08/2009 | < 5% |
| HIRSCH, DUANE, MICHAEL | Individual | – | LEAD ADVISOR | 02/2010 | < 5% |
| LYONS, ALLISON, ANNE | Individual | – | LEAD ADVISOR AND SVP OF ADVISORY SERVICE | 02/2010 | < 5% |
| MCCULLY, KYLE, JAMES | Individual | – | CHIEF BUSINESS DEVELOPMENT OFFICER | 01/2019 | < 5% |
| CI FINANCIAL CORP. | Foreign Entity | CI US HOLDINGS, INC. | OWNER | 01/2022 | > 75% |
| CI PRIVATE WEALTH, LLC | Domestic Entity | – | OWNER | 02/2023 | > 75% |
| CIPW HOLDINGS, LLC | Domestic Entity | CI PRIVATE WEALTH, LLC | OWNER | 01/2022 | > 75% |
| CI US, LLC | Domestic Entity | CIPW HOLDINGS, LLC | OWNER | 01/2022 | > 75% |
| CI US HOLDINGS, INC. | Domestic Entity | CIPW HOLDINGS, LLC | OWNER | 01/2022 | > 75% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |