FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
Adviser information for FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC last updated from Form ADV on January 3rd, 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 | SEPTEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 45 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,742 | $263.1M |
| Non-Discretionary | 912 | $102.3M |
| Total | 2,654 | $365.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 917 | $204.1M |
| HNW Individuals | 128 | $135.7M |
| 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 | <5 | $946,829 |
| Charitable organizations | <5 | $10.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 9 | $5.4M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 29 | $9.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-122258 |
|---|---|
| SEC ERA File Number | 801-122258 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316024 |
| Legal Entity Identifier | None |
Principal Office
2501 RANCH ROAD 620 SSTE 110
LAKEWAY
TX
United States
Monday - Friday, 8AM-5PM
Tel: 800-588-3893, Fax: None
Chief Compliance Officer
SCOTT CHRISTOPHER WINTERS
CEO/CHAIRMAN OF THE BOARD/INTERIM CCO
2501 RANCH ROAD 620 S
STE 110
LAKEWAY
TX
United States
Tel:
1-800-588-3893
S************@*******************M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL GRAVITY ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| FINANCIAL GRAVITY ENHANCED MARKETS, LLC | Accountant or accounting firmInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FINANCIAL GRAVITY COMPANIES, INC. | Domestic Entity | – | OWNER | 06/2020 | > 75% |
| WINTERS, SCOTT, CHRISTOPHER | Individual | FINANCIAL GRAVITY COMPANIES, INC. | MANAGING MEMBER | 08/2020 | |
| POLLOCK, JOHN, DAVID | Individual | FINANCIAL GRAVITY COMPANIES, INC. | MEMBER | 10/2019 | |
| NELSON, WILLIAM, ROBERT | Individual | FINANCIAL GRAVITY COMPANIES, INC. | MEMBER | 08/2020 | |
| NEMER, GARY, JOEL | Individual | FINANCIAL GRAVITY COMPANIES, INC. | MEMBER | 08/2020 | |
| WINTERS, SCOTT, CHRISTOPHER | Individual | – | CEO/CHAIRMAN OF THE BOARD/ INTERIM CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |
| Winters, Jennifer | Individual | – | COO | 08/2021 | < 5% |