COPPER LEAF FINANCIAL, LLC
Adviser information for COPPER LEAF FINANCIAL, LLC last updated from Form ADV on January 21st, 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 | Vermont, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 585 | $189.2M |
| Non-Discretionary | 0 | $0 |
| Total | 585 | $189.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 62 | $29.1M |
| HNW Individuals | 74 | $156.8M |
| 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 | 20 | $3.2M |
| 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 | 7 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
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) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-120617 |
|---|---|
| SEC ERA File Number | 801-120617 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285378 |
| Legal Entity Identifier | None |
Principal Office
33 BLAIR PARK ROADSUITE 203
WILLISTON
VT
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 802-878-2731, Fax: None
Chief Compliance Officer
BRET HODGDON
PARTNER
33 BLAIR PARK ROAD
SUITE 203
WILLISTON
VT
United States
Tel:
802-878-2731
B****@**********************M
(Full email address available in API data)
Regulatory Contact
JACKIE WINKLER
ASSOCIATE WEALTH ADVISOR
33 BLAIR PARK ROAD
SUITE 203
WILLISTON
VT
United States
Tel:
802-878-2731
J*****@**********************M
(Full email address available in API data)
Industry Affiliates
| DAVIS & HODGDON ASSOCIATES CPAS PLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DAVIS, JOHN, WENTLING | Individual | – | SHAREHOLDER | 03/2015 | > 75% |
| HODGDON, BRET, LYN | Individual | – | CHIEF COMPLIANCE OFFICER, SHAREHOLDER | 03/2015 | 25-50% |