ARTESA FINANCIAL GROUP
ARTESA FINANCIAL GROUP, LLC Legal Name
Adviser information for ARTESA FINANCIAL GROUP 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 541 | $94.8M |
| Non-Discretionary | 0 | $0 |
| Total | 541 | $94.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 514 | $62.1M |
| HNW Individuals | 27 | $32.7M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122111 |
|---|---|
| SEC ERA File Number | 801-122111 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153741 |
| Legal Entity Identifier | None |
Principal Office
COMMONWEALTH CENTRE2040 N. LOOP 336 W. , STE. 227
CONROE
TX
United States
BY APPOINTMENT ONLY, 8:00AM - 5:00PM
Tel: 936-760-2215, Fax: 936-760-2216
Websites
Chief Compliance Officer
CHRISTY A. HAYES
COMMONWEALTH CENTRE
2040 N. LOOP 336 W. , STE. 227
CONROE
TX
United States
Tel:
(936) 760-2215
Fax:
(936) 760-2216
C*****@***********************M
(Full email address available in API data)
Regulatory Contact
FRANK E. CANNON
MANAGING MEMBER
COMMONWEALTH CENTRE
2040 N. LOOP 336 W. , STE. 227
CONROE
TX
United States
Tel:
936-760-2215
Fax:
936-760-2216
F******@***********************M
(Full email address available in API data)
Industry Affiliates
| ASSET GUARDIAN, 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 |
|---|---|---|---|---|---|
| CANNON, FRANK, EDWARD | Individual | – | MANAGING MEMBER | 06/2010 | 50-75% |
| HAYES, CHRISTY, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2016 | < 5% |
| CANNON, BOBBI, JO | Individual | – | CHIEF FINANCIAL OFFICER | 07/2021 | 50-75% |