WHEAT GIVENS FINANCIAL, LLC
Adviser information for WHEAT GIVENS FINANCIAL, LLC last updated from Form ADV on February 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 721 | $144.1M |
| Total | 721 | $144.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 211 | $47.2M |
| HNW Individuals | 57 | $95.9M |
| 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 | $239,619 |
| 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 | <5 | $748,484 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 141.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WHEAT-GIVENS FINANCIAL, LLC WRAP FEE PROGRAM | WHEAT GIVENS FINANCIAL, LLC |
Identifiers
| SEC RIA File Number | 801-121906 |
|---|---|
| SEC ERA File Number | 801-121906 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114258 |
| Legal Entity Identifier | None |
Principal Office
8751 COLLIN MCKINNEY PARKWAYSUITE 903
MCKINNEY
TX
United States
Monday - Friday, 10:00 AM - 6:00 PM
Tel: 214-385-2415, Fax: 214-385-2434
Chief Compliance Officer
LORI GIVENS
CO-OWNER/ADVISOR
8751 COLLIN MCKINNEY PARKWAY
SUITE 903
MCKINNEY
TX
United States
Tel:
214-385-2415
Fax:
214-385-2434
L*******@**************M
(Full email address available in API data)
Regulatory Contact
PHIL WHEAT
CO-OWNER/ADVISOR
8751 COLLIN MCKINNEY PARKWAY
SUITE 903
MCKINNEY
TX
United States
Tel:
214-385-2415
Fax:
214-385-2434
P******@**************M
(Full email address available in API data)
Industry Affiliates
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther 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 |
|---|---|---|---|---|---|
| WHEAT, PHIL, DWAYNE | Individual | – | OWNER / ADVISOR | 09/1995 | > 75% |
| GIVENS, LORI, BETH | Individual | – | CO-OWNER / ADVISOR / CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |