CROMWELL FUNDS
CROMWELL INVESTMENT ADVISORS, LLC Legal Name
Adviser information for CROMWELL FUNDS last updated from Form ADV on March 26th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 6 | $460.2M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $460.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $460.2M |
| 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 | 6 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122554 |
|---|---|
| SEC ERA File Number | 801-122554 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314411 |
| Legal Entity Identifier | None |
Principal Office
810 GLENEAGLES COURTSUITE 106
BALTIMORE
MD
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 888-844-4110, Fax: None
Websites
Chief Compliance Officer
DARCY LIMANNI
810 GLENEAGLES COURT
SUITE 106
BALTIMORE
MD
United States
Tel:
443-652-4207
D*******@*******************M
(Full email address available in API data)
Regulatory Contact
BRIAN C. NELSON
CEO/CFO/MEMBER
810 GLENEAGLES COURT
SUITE 106
BALTIMORE
MD
United States
Tel:
(443) 652-4207
B******@*******************M
(Full email address available in API data)
Industry Affiliates
| JEMMA FINANCIAL SERVICES | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NELSON, BRIAN, CARL | Individual | – | PRESIDENT/MEMBER | 05/2021 | 50-75% |
| BAIRD, STEPHEN, EDWARD | Individual | – | CHIEF OPERATING OFFICER/MEMBER | 05/2021 | 5-10% |
| KANSLER, CHRISTIAN, MATTHEW | Individual | – | MEMBER | 05/2021 | < 5% |
| MATTINGLY, MICHEAL, THERESE | Individual | – | MEMBER | 05/2021 | 5-10% |
| RANSON, ERIK, MICHAEL | Individual | – | MEMBER | 05/2021 | 10-25% |
| VICHICH, MEGAN, TURNER | Individual | – | MEMBER | 05/2021 | 5-10% |
| LIMANNI, DARCY, NICOLE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |