NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC
Adviser information for NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC last updated from Form ADV on February 14th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| 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 | 86 | $120.5M |
| Non-Discretionary | 0 | $0 |
| Total | 86 | $120.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 75 | $82.3M |
| 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 | 6 | $13.6M |
| Charitable organizations | 5 | $24.5M |
| 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 | 4 |
| 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 clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-120348 |
|---|---|
| SEC ERA File Number | 801-120348 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165451 |
| Legal Entity Identifier | None |
Principal Office
100 SHORELINE HIGHWAYBUILDING B, SUITE 380
MILL VALLEY
CA
United States
Monday - Friday, 7:00 A.M. TO 4:00 P.M.
Tel: 415.287-5100, Fax: None
Websites
Chief Compliance Officer
MARYANN HARRISON
CHIEF OPERATING OFFICER
100 SHORELINE HIGHWAY
BUILDING B, SUITE 380
MILL VALLEY
CA
United States
Tel:
415-956-8700
M********@**********M
(Full email address available in API data)
Regulatory Contact
PETER PEREZ
ASSOCIATE CHIEF COMPLIANCE OFFICER
100 SHORELINE HIGHWAY
BUILDING B, SUITE 380
MILL VALLEY
CA
United States
Tel:
415-287-5100
P*****@**********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 |
|---|---|---|---|---|---|
| NOLLENBERGER, BRUCE, WESTON | Individual | – | MANAGING MEMBER | 10/2020 | 50-75% |
| HILL, RUSTIN, EDWIN | Individual | – | MEMBER | 11/2020 | < 5% |
| BLOMQUIST, HERBERT, THEODORE | Individual | – | MEMBER | 10/2012 | 5-10% |
| Susnow, Lawrence, Irving | Individual | – | MEMBER | 10/2012 | < 5% |
| FLEMING, ANDREW, ELLIOT | Individual | – | MEMBER | 10/2012 | < 5% |
| WIATRAK, LEON, ADAM | Individual | – | MEMBER | 10/2020 | 25-50% |
| MITCHELL, GEORGE, ROTHWELL | Individual | – | MEMBER | 10/2020 | < 5% |
| Nollenberger, Barton, Jeffrey | Individual | – | MEMBER | 10/2020 | < 5% |
| SUSNOW, RITA, CATHERINE | Individual | – | MEMBER | 10/2020 | < 5% |
| PEREZ, PETER, THOMAS | Individual | – | ASSOCIATE CHIEF COMPLIANCE OFFICE | 01/2021 | < 5% |
| HARRISON, MARYANN, FERGUSON | Individual | – | CCO | 01/2021 | < 5% |