ARBOR FINANCIAL SERVICES, LLC
Adviser information for ARBOR FINANCIAL SERVICES, LLC last updated from Form ADV on February 12th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 468 | $117.7M |
| Non-Discretionary | 0 | $0 |
| Total | 468 | $117.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 210 | $57.4M |
| HNW Individuals | 30 | $59.7M |
| 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 | <5 | $708,140 |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesWRAP FEE |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 117.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ARBOR FINANCIAL SERVICES WRAP PROGRAM | ARBOR FINANCIAL SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-121507 |
|---|---|
| SEC ERA File Number | 801-121507 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150713 |
| Legal Entity Identifier | None |
Principal Office
2001 BUTTERFIELD ROADSUITE 500
DOWNERS GROVE
IL
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: 630-701-9080, Fax: 630-757-0177
Chief Compliance Officer
PETER C. CLAEYS
MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER
2001 BUTTERFIELD ROAD
SUITE 500
DOWNERS GROVE
IL
United States
Tel:
630-701-9080
Fax:
630-757-0177
P***********@*************************M
(Full email address available in API data)
Regulatory Contact
MONICA STERN
VP OF ADMINISTRATION
2001 BUTTERFIELD ROAD
SUITE 500
DOWNERS GROVE
IL
United States
Tel:
630-701-9080
Fax:
630-757-0177
M***********@*************************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 |
|---|---|---|---|---|---|
| PROFITABILITY CONCEPTS AND CONSULTING, LLC | Domestic Entity | – | MANAGING MEMBER | 11/2000 | > 75% |
| CLAEYS, PETER, CHARLES | Individual | PROFITABILITY CONCEPTS AND CONSULTING, LLC | MANAGING MEMBER | 06/2000 | > 75% |
| CLAEYS, PETER, CHARLES | Individual | – | CHIEF COMPLIANCE OFFICER, MEMBER | 06/2009 | < 5% |