GLENWOOD INVESTMENT GROUP, LLC
Adviser information for GLENWOOD INVESTMENT GROUP, LLC last updated from Form ADV on March 21st, 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 | New Hampshire, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 349 | $135.7M |
| Non-Discretionary | 6 | $5.8M |
| Total | 355 | $141.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 355 | $141.4M |
| HNW Individuals | 0 | $0 |
| 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 | $86,104 |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121991 |
|---|---|
| SEC ERA File Number | 801-121991 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132950 |
| Legal Entity Identifier | None |
Principal Office
814 ELM STREETSUITE 503
MANCHESTER
NH
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 603-606-3391, Fax: 603-626-6066
Chief Compliance Officer
THOMAS J. STEPHEN
CCO
814 ELM STREET
SUITE 503
MANCHESTER
NH
United States
Tel:
603-606-3391
Fax:
603-626-6066
T*****@*********************M
(Full email address available in API data)
Regulatory Contact
KIMBERLY STEPHEN
814 ELM STREET
SUITE 503
MANCHESTER
NH
United States
Tel:
603-606-3391
Fax:
603-626-6066
K**@*********************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 |
|---|---|---|---|---|---|
| STEPHEN, THOMAS, JOHN | Individual | – | PRINCIPAL; CHIEF COMPLIANCE OFFICER | 03/2022 | > 75% |