MARCHAND FARIES FINANCIAL MANAGEMENT, INC.
Adviser information for MARCHAND FARIES FINANCIAL MANAGEMENT, INC. last updated from Form ADV on February 18th, 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 | Florida, 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 | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 233 | $120.1M |
| Non-Discretionary | 0 | $0 |
| Total | 233 | $120.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 47 | $11.3M |
| HNW Individuals | 44 | $108.8M |
| 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 | 0 | $0 |
| 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 | 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 | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121512 |
|---|---|
| SEC ERA File Number | 801-121512 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107813 |
| Legal Entity Identifier | None |
Principal Office
229 W NORFOLK RDJUPITER
FL
United States
Monday - Friday, 8:00 AM TO 6:00 PM
Tel: 904-805-0207, Fax: 904-805-0209
Chief Compliance Officer
JANE MARCHAND
PRESIDENT, CHIEF COMPLIANCE OFFICER
PO BOX 2179
KEYSTONE HEIGHTS
FL
United States
Tel:
904-805-0207
Fax:
904-805-0209
J***@*******M
(Full email address available in API data)
Regulatory Contact
JENNIFER SHEFFER
DIRECTOR OF CLIENT SERVICES
229 W NORFOLK ROAD
JUPITER
FL
United States
Tel:
904-805-0207
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 |
|---|---|---|---|---|---|
| SHEFFLER, JENNIFER, CATHERINE | Individual | – | VICE PRESIDENT, BOARD MEMBER, DIRECTOR OF CLIENT SERVICES | 01/2020 | 10-25% |
| FARIES, STEPHEN, TERRY | Individual | – | VICE PRESIDENT, BOARD MEMBER | 01/1996 | 25-50% |
| MARCHAND, JANE, ELIZABETH | Individual | – | PRESIDENT, BOARD MEMBER, CHIEF COMPLIANCE OFFICER | 01/1996 | 50-75% |
| FARIES, JOHN, ROYAL | Individual | – | EXECUTIVE VICE PRESIDENT/BOARD MEMBER | 10/2016 | 10-25% |