CND FINANCIAL
EXECUTIVE FINANCIAL SERVICES INC Legal Name
Adviser information for CND FINANCIAL 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 | Michigan, 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 | 189 | $151.9M |
| Non-Discretionary | 1 | $2.5M |
| Total | 190 | $154.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 128 | $48.9M |
| HNW Individuals | 62 | $103.0M |
| 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 | <5 | $2.5M |
| 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 | Financial planningPortfolio management for individuals and/or small businessesFINANCIAL PLANNING-CONSULTING |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-121895 |
|---|---|
| SEC ERA File Number | 801-121895 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110180 |
| Legal Entity Identifier | None |
Principal Office
33762 SCHOOLCRAFT RD2ND FLOOR
LIVONIA
MI
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 734-427-2030, Fax: 734-427-3004
Chief Compliance Officer
ARTHUR R COLE
PRESIDENT
33762 SCHOOLCRAFT ROAD
2ND FLOOR
LIVONIA
MI
United States
Tel:
734-427-2030
Fax:
734-427-3004
A***@*********M
(Full email address available in API data)
Regulatory Contact
MARIA KIEFER
OPERATIONS MANAGER
33762 SCHOOLCRAFT RD
2ND FLOOR
LIVONIA
MI
United States
Tel:
734-427-2030
Fax:
734-427-3004
M*****@*********M
(Full email address available in API data)
Industry Affiliates
| COLE NEWTON & DURAN CPAS | Accountant or accounting firm |
| WILLIAM MACK & ASSOCIATES INC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COLE, ARTHUR, RAYMOND | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2008 | 50-75% |
| MACK, WILLIAM | Individual | – | VICE PRESIDENT | 01/2008 | 25-50% |
| BUGENSKI, THEODORE, KARL | Individual | – | SECRETARY | 01/2008 | 10-25% |