WARREN CAPITAL GROUP
WARREN CAPITAL MANAGEMENT, INC. Legal Name
Adviser information for WARREN CAPITAL GROUP last updated from Form ADV on February 16th, 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 | South Carolina, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 209 | $87.9M |
| Non-Discretionary | 4 | $2.8M |
| Total | 213 | $90.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $9.3M |
| HNW Individuals | 71 | $74.4M |
| 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 | $2.8M |
| 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 | 21 | $4.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121205 |
|---|---|
| SEC ERA File Number | 801-121205 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 137449 |
| Legal Entity Identifier | None |
Principal Office
677 KING STREETFLOOR 3
CHARLESTON
SC
United States
Monday - Friday, 9AM - 5PM
Tel: (202) 550-0120, Fax: None
Chief Compliance Officer
PARKER ALLEN
677 KING ST
FLOOR 3
CHARLESTON
SC
United States
Tel:
8037302169
P*****@*********M
(Full email address available in API data)
Regulatory Contact
JOSEPH WARREN
CEO
677 KING ST
FLOOR 3
CHARLESTON
SC
United States
Tel:
2025500120
J**@*********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 |
|---|---|---|---|---|---|
| WARREN, JOSEPH, RICHARD | Individual | – | PRESIDENT; CEO | 07/2005 | > 75% |
| ALLEN, PARKER, STELLING | Individual | – | CCO | 01/2022 | < 5% |