LITTLEJOHN FINANCIAL SERVICES INC
LITTLEJOHN FINANCIAL SERVICES, INC Legal Name
Adviser information for LITTLEJOHN FINANCIAL SERVICES INC last updated from Form ADV on January 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 | Oregon, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 1,212 | $130.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,212 | $130.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 504 | $81.1M |
| HNW Individuals | 34 | $42.8M |
| 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 | <5 | $4.7M |
| Charitable organizations | <5 | $1.4M |
| 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 | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-120952 |
|---|---|
| SEC ERA File Number | 801-120952 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155113 |
| Legal Entity Identifier | None |
Principal Office
2435 NW KLINE ST.SUITE 200
ROSEBURG
OR
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 541-375-0898, Fax: 888-489-7557
Websites
Chief Compliance Officer
FRED DAVID LITTLEJOHN II
PRINCIPAL
2435 NW KLINE ST.
SUITE 200
ROSEBERG
OR
United States
Tel:
541-375-0898
Fax:
888-489-7557
I***@***************M
(Full email address available in API data)
Regulatory Contact
SHANNON ANDERSON
COMPLIANCE OFFICER
2435 NW KLINE ST.
SUITE 200
ROSEBERG
OR
United States
Tel:
541-375-0898
Fax:
888-489-7557
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 |
|---|---|---|---|---|---|
| LITTLEJOHN, FRED, DAVID | Individual | – | PRINCIPAL, CHIEF COMPLIANCE OFFICER | 09/2010 | > 75% |