AWM FINANCIAL SERVICES INC.
Adviser information for AWM FINANCIAL SERVICES INC. last updated from Form ADV on March 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 | Texas, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,013 | $198.0M |
| Non-Discretionary | 0 | $0 |
| Total | 2,013 | $198.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 592 | $156.5M |
| HNW Individuals | 24 | $41.5M |
| 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 | 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 businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesADMINISTRATIVE AND TECHNOLOGY FEE |
Identifiers
| SEC RIA File Number | 801-120940 |
|---|---|
| SEC ERA File Number | 801-120940 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144351 |
| Legal Entity Identifier | None |
Principal Office
9595 SIX PINES DRIVEBUILDING 4 SUITE 4230
THE WOODLANDS
TX
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 281-444-7555, Fax: 832-201-9999
Chief Compliance Officer
RYAN WHELESS
CEO
9595 SIX PINES DRIVE
BUILDING 4 SUITE 4230
THE WOODLANDS
TX
United States
Tel:
281-444-7555
Fax:
832-201-9999
R***@***************M
(Full email address available in API data)
Regulatory Contact
AMBER WHIDDON
DIRECTOR OF COMPLIANCE
9595 SIX PINES DRIVE
BUILDING 4 SUITE 4230
THE WOODLANDS
TX
United States
Tel:
281-444-7555
Fax:
832-201-9999
A*****@***************M
(Full email address available in API data)
Industry Affiliates
| PORTFOLIO DYNAMIX | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Wheless, Daniel, Ryan | Individual | – | FOUNDER/CEO/CCO | 01/2008 | > 75% |
| Stevenson, Matthew, Ian | Individual | – | PRESIDENT | 06/2016 | < 5% |