BAYNTREE WEALTH ADVISORS, LLC
Adviser information for BAYNTREE WEALTH ADVISORS, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,005 | $174.0M |
| Non-Discretionary | 14 | $7.3M |
| Total | 1,019 | $181.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 341 | $76.1M |
| HNW Individuals | 88 | $105.2M |
| 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 | 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-121867 |
|---|---|
| SEC ERA File Number | 801-121867 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 226708 |
| Legal Entity Identifier | None |
Principal Office
7001 NORTH SCOTTSDALE ROADSUITE 2055
SCOTTSDALE
AZ
United States
Monday - Friday, 8:30-5:00
Tel: 480.494.2750, Fax: 480.452.0827
Chief Compliance Officer
ANDREW RAFAL
PRESIDENT
7001 NORTH SCOTTSDALE ROAD
SUITE 2055
SCOTTSDALE
AZ
United States
Tel:
480.494.2750
Fax:
480.452.0827
A*****@***********M
(Full email address available in API data)
Regulatory Contact
BRYAN GORT
OUTSIDE COMPLIANCE CONSULTANT
2987 CLAIRMONT ROAD
SUITE 200
ATLANTA
GA
United States
Tel:
4044904060
Fax:
4044904058
B****@**********M
(Full email address available in API data)
Industry Affiliates
| BAYNTREE PLANNING GROUP, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAFAL, ANDREW, SCOTT | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 07/2015 | < 5% |
| RAFAL, ANDREW, SCOTT | Individual | AJW, LLC | OWNER | 10/2015 | > 75% |
| AJW, LLC | Domestic Entity | – | OWNER | 10/2015 | > 75% |