EFFECTIVE ASSETS
EFFECTIVE ASSETS, INC. Legal Name
Adviser information for EFFECTIVE ASSETS last updated from Form ADV on January 23rd, 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 | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 327 | $133.2M |
| Non-Discretionary | 88 | $7.4M |
| Total | 415 | $140.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 83 | $32.4M |
| HNW Individuals | 37 | $99.7M |
| 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 | <5 | $6.8M |
| Charitable organizations | <5 | $1.6M |
| 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 | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-120391 |
|---|---|
| SEC ERA File Number | 801-120391 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285744 |
| Legal Entity Identifier | None |
Principal Office
1247 WOODWIND TRAILHASLETT
MI
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 510-549-2525, Fax: 510-295-2621
Chief Compliance Officer
JUSTIN MARTELLO
PRINCIPAL ADVISOR
1247 WOODWIND TRAIL
HASLETT
MI
United States
Tel:
510-549-2525
Fax:
510-295-2621
J*****@******************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 |
|---|---|---|---|---|---|
| MARTELLO, JUSTIN, EVERETT | Individual | – | CFP AND CCO | 10/2016 | > 75% |