SPINOSA WEALTH MANAGEMENT GROUP
SPINOSA WEALTH MANAGEMENT GROUP, LLC Legal Name
Adviser information for SPINOSA WEALTH MANAGEMENT GROUP last updated from Form ADV on March 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 | Louisiana, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 269 | $127.7M |
| Non-Discretionary | 0 | $0 |
| Total | 269 | $127.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 42 | $7.8M |
| HNW Individuals | 91 | $118.6M |
| 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 | <5 | $1.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 127.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SPINOSA WEALTH MANAGEMENT GROUP WRAP FEE PROGRAM | SPINOSA WEALTH MANAGEMENT GROUP |
Identifiers
| SEC RIA File Number | 801-120889 |
|---|---|
| SEC ERA File Number | 801-120889 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170903 |
| Legal Entity Identifier | None |
Principal Office
4565 LASALLE STREETSUITE 201
MANDEVILLE
LA
United States
Monday - Friday, 8:00 AM - 5 PM
Tel: 985-674-6722, Fax: 508-448-6017
Chief Compliance Officer
BRITTANY ROADEN
CHIEF COMPLIANCE OFFICER AND OPERATIONS MANAGER
4565 LASALLE STREET
SUITE 201
MANDEVILLE
LA
United States
Tel:
985-674-6722
Fax:
508-448-6017
B*******@*************M
(Full email address available in API data)
Regulatory Contact
JORDAN SPINOSA
MANAGER & PARA PLANNER
4565 LASALLE ST
SUITE 201
MANDEVILLE
LA
United States
Tel:
985-674-6722
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPINOSA, LAWRENCE, RANDALL | Individual | – | PRESIDENT | 12/1982 | > 75% |
| ROADEN, BRITTANY, NICHOLE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2020 | < 5% |