WOODFIELD FINANCIAL ADVISORS, INC.
Adviser information for WOODFIELD FINANCIAL ADVISORS, INC. last updated from Form ADV on March 29th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 542 | $132.9M |
| Non-Discretionary | 31 | $29.8M |
| Total | 573 | $162.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 379 | $41.8M |
| HNW Individuals | 165 | $92.2M |
| 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 | 18 | $26.4M |
| Charitable organizations | 5 | $1.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 6 | $1.2M |
| 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 | 13 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121330 |
|---|---|
| SEC ERA File Number | 801-121330 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123279 |
| Legal Entity Identifier | None |
Principal Office
21660 W. FIELD PKWY SUITE 290DEER PARK
IL
United States
Monday - Friday, 9:00-5:00
Tel: 847-726-9600, Fax: 847-620-0690
Chief Compliance Officer
JAMES B. DOBBS
PRESIDENT
21660 W. FIELD PKWY. SUITE 290
DEER PARK
IL
United States
Tel:
847-726-9600
Fax:
847-620-0690
J*****@*****************************M
(Full email address available in API data)
Regulatory Contact
DONALD J. MONSEN
VICE-PRESIDENT
21660 W. FIELD PKWY. SUITE 290
DEER PARK
IL
United States
Tel:
847-726-9600
Fax:
847-620-0690
D******@*****************************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 |
|---|---|---|---|---|---|
| DOBBS, JAMES, BLAKE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/1984 | > 75% |
| DOBBS, JAMES, BLAKE | Individual | – | PRESIDENT AND SECY TREASURER | 02/1984 | > 75% |