DRIVEADVISORY, LLC
Adviser information for DRIVEADVISORY, 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 | New Jersey, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $750,659 |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $750,659 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $750,659 |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122189 |
|---|---|
| SEC ERA File Number | 801-122189 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315146 |
| Legal Entity Identifier | None |
Principal Office
28 LIBERTY STREETNEW YORK
NY
United States
Monday - Friday, 9:00 - 5:00
Tel: 800-461-2680, Fax: None
Websites
Chief Compliance Officer
THOMAS HARTER
909 ROSE AVENUE
NORTH BETHESDA
MD
United States
Tel:
949-625-6008
T************@************M
(Full email address available in API data)
Regulatory Contact
DRIVEADVISORY LEGAL
28 LIBERTY STREET
NEW YORK
NY
United States
Tel:
800-461-2680
L****@**************M
(Full email address available in API data)
Industry Affiliates
| DRIVELOYALTY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DRIVEWEALTH INSTITUTIONAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DRIVEWEALTH, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | Domestic Entity | – | SOLE MEMBER | 09/2014 | > 75% |
| YAMAGUCHI, CHRISTOPHER, MASAO | Individual | – | GENERAL COUNSEL | 03/2023 | < 5% |
| HARTER, THOMAS, LOWELL | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |