VIENNA ASSET MANAGEMENT LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	4
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	119	$204.0M
Non-Discretionary	0	$0
Total	119	$204.0M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	119	$204.0M
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	30
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businesses
Compensation	% of AUMHourly charges
Other Business Activities	Insurance broker or agent

Identifiers

SEC RIA File Number	801-122371
SEC ERA File Number	801-122371
SEC CIK Numbers	1913545
SEC CRD Numbers	299725
Legal Entity Identifier	None

Principal Office

14657 BIG BASIN WAY
SARATOGA
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic