WITTLIN ADVISORY
ROGER WITTLIN INVESTMENT ADVISORY, LLC Legal Name
Adviser information for WITTLIN ADVISORY last updated from Form ADV on February 22nd, 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 | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 22 | $218.0M |
| Non-Discretionary | 2 | $100.0M |
| Total | 24 | $318.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 8 | $127.0M |
| 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 | 2 | $13.0M |
| 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 | 1 | $1.0M |
| Other | 8 | $177.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 7 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
1000 GREEN STREETPH 1
SAN FRANCISCO
CA
United States
Monday - Friday, 6:30AM - 6:00PM
Tel: 415-696-4044, Fax: None
Chief Compliance Officer
ROGER WITTLIN
MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE
1000 GREEN ST.
PH 1
SAN FRANCISCO
CA
United States
Tel:
415-696-4044
R****@******************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 |
|---|---|---|---|---|---|
| WITTLIN, ROGER, LOWELL | Individual | – | CHIEF COMPLIANCE OFFICER/ MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 09/2017 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPHABET INC | CAP STK CL A | 264K | 1K | – |
| AMAZON COM INC | COM | 241K | 1K | – |
| APPLE INC | COM | 341K | 2K | – |
| EQUITY RESIDENTIAL | SH BEN INT | 300K | 4K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 249K | 12K | – |
| INVESCO EXCH TRADED FD TR II | PFD ETF | 127K | 11K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 3M | 19K | – |
| INVESCO QQQ TR | UNIT SER 1 | 6M | 13K | – |
| ISHARES TR | CORE S&P500 ETF | 22M | 40K | – |
| ISHARES TR | CORE MSCI EAFE | 2M | 24K | – |
| ISHARES TR | CORE S&P TTL STK | 11M | 91K | – |
| ISHARES TR | CORE US AGGBD ET | 1M | 13K | – |
| ISHARES TR | CORE S&P MCP ETF | 2M | 34K | – |
| ISHARES TR | 7-10 YR TRSY BD | 272K | 3K | – |
| ISHARES TR | BLACKROCK ULTRA | 1M | 24K | – |
| ISHARES TR | 20 YR TR BD ETF | 1M | 13K | – |
| ISHARES TR | ISHS 1-5YR INVS | 2M | 45K | – |
| ISHARES TR | IBOXX INV CP ETF | 1M | 11K | – |
| MICROSOFT CORP | COM | 371K | 829 | – |
| NVIDIA CORPORATION | COM | 305K | 2K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 354K | 14K | – |
| PGIM ETF TR | PGIM ULTRA SH BD | 239K | 5K | – |
| PIMCO ETF TR | MULTISECTOR BD | 2M | 77K | – |
| PIMCO ETF TR | ACTIVE BD ETF | 6M | 66K | – |
| PIMCO ETF TR | SR LN ACTIVE ETF | 10M | 201K | – |
| PROLOGIS INC. | COM | 931K | 8K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | 295K | 4K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 801K | 23K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 580K | 12K | – |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 645K | 17K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 13M | 203K | – |
| SPDR GOLD TR | GOLD SHS | 707K | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 7M | 12K | – |
| SPDR SER TR | S&P DIVID ETF | 2M | 13K | – |
| SPDR SER TR | SPDR S&P1500VL | 7M | 42K | – |
| SPDR SER TR | BLOOMBERG HIGH Y | 203K | 2K | – |
| SPDR SER TR | BLOOMBERG INVT | 1M | 36K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 5M | 72K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 331K | 4K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 28M | 105K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 5M | 20K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 1M | 21K | – |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 307K | 3K | – |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 310K | 4K | – |
| VANGUARD SCOTTSDALE FDS | MTG-BKD SECS ETF | 3M | 62K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 204K | 3K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 2M | 9K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 2M | 41K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 235K | 882 | – |