CONVERGENT FINANCIAL STRATEGIES LLC
Adviser information for CONVERGENT FINANCIAL STRATEGIES LLC last updated from Form ADV on January 19th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| 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 | 0 | $0 |
| Non-Discretionary | 385 | $178.5M |
| Total | 385 | $178.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 20 | $10.5M |
| HNW Individuals | 65 | $167.9M |
| 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 | 7 |
| 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 businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | Hourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-120676 |
|---|---|
| SEC ERA File Number | 801-120676 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158192 |
| Legal Entity Identifier | None |
Principal Office
600 W GERMANTOWN PIKESTE 400
PLYMOUTH MEETING
PA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 484-477-4100, Fax: None
Chief Compliance Officer
ALAN SCHAPIRE
CHIEF COMPLIANCE OFFICER
PO BOX 623
MEDIA
PA
United States
Tel:
484-477-4100
A***@***************M
(Full email address available in API data)
Regulatory Contact
CARL NADWODNY
MEMBER
600 W GERMANTOWN PIKE
STE 400
PLYMOUTH MEETING
PA
United States
Tel:
484-477-4100
Fax:
610-891-0763
C***@***************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 |
|---|---|---|---|---|---|
| SCHAPIRE, ALAN, MARK | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 07/2011 | 50-75% |
| NADWODNY, CARL, STEPHEN | Individual | – | MEMBER, CHIEF INVESTMENT OFFICER | 10/2014 | 50-75% |