AO WEALTH ADVISORY
A.O. WEALTH ADVISORY,LLC Legal Name
Adviser information for AO WEALTH ADVISORY last updated from Form ADV on March 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 | Iowa, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 1,088 | $135.4M |
| Non-Discretionary | 3 | $11.4M |
| Total | 1,091 | $146.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 266 | $71.3M |
| HNW Individuals | 32 | $61.9M |
| 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 | 6 | $13.5M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-120730 |
|---|---|
| SEC ERA File Number | 801-120730 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288301 |
| Legal Entity Identifier | None |
Principal Office
2570 106TH STREET, SUITE AURBANDALE
IA
United States
Monday - Friday, 9-4:30
Tel: 515-224-7849, Fax: None
Chief Compliance Officer
ADAM OBRECHT
MANAGING MEMBER
2570 106TH STREET, SUITE A
URBANDALE
IA
United States
Tel:
515-224-7849
A*******@*******************M
(Full email address available in API data)
Regulatory Contact
GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel:
865-770-1024
S******@*************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 |
|---|---|---|---|---|---|
| OBRECHT, ADAM, BAIN | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 06/2017 | > 75% |
| WILLIAMS, ERIC, RANDALL | Individual | – | PART OWNER | 01/2021 | 5-10% |