KAUFMAN ROSSIN WEALTH, LLC
Adviser information for KAUFMAN ROSSIN WEALTH, LLC last updated from Form ADV on March 5th, 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 | Florida, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 373 | $224.8M |
| Non-Discretionary | 0 | $0 |
| Total | 373 | $224.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 85 | $48.4M |
| HNW Individuals | 70 | $170.1M |
| 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 | $1.0M |
| Charitable organizations | <5 | $374,112 |
| 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 | <5 | $4.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-122845 |
|---|---|
| SEC ERA File Number | 801-122845 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301921 |
| Legal Entity Identifier | None |
Principal Office
3310 MARY STREETSUITE 501
MIAMI
FL
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 305-646-6071, Fax: None
Websites
Chief Compliance Officer
MARIA E. SOCARRAS
DIRECTOR OF CLIENT EXPERIENCE
3310 MARY STREET
SUITE 501
MIAMI
FL
United States
Tel:
305-646-6071
M********@**********************M
(Full email address available in API data)
Regulatory Contact
CHARLES B. SACHS
CHIEF INVESTMENT OFFICER
3310 MARY STREET
SUITE 501
MIAMI
FL
United States
Tel:
305-646-6064
C*****@**********************M
(Full email address available in API data)
Industry Affiliates
| KAUFMAN ROSSIN & CO. | Accountant or accounting firm |
| KR FINANCIAL SERVICES, LLC DBA KAUFMAN ROSSIN INSURANCE SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SACHS, CHARLES, BENNETT | Individual | – | CHIEF INVESTMENT OFFICER | 03/2019 | < 5% |
| PELHAM, THOMAS, JOHN | Individual | – | PRESIDENT | 03/2019 | < 5% |
| KAUFMAN ROSSIN WEALTH HOLDINGS, LLC | Domestic Entity | – | OWNER | 03/2019 | > 75% |
| HECKAMAN, BLAIN, LAMAR | Individual | – | VICE PRESIDENT | 03/2019 | < 5% |
| KAUFMAN ROSSIN & CO. | Domestic Entity | KAUFMAN ROSSIN WEALTH HOLDINGS, LLC | OWNER | 03/2019 | > 75% |
| FEIGELSON, MARC, DAVID | Individual | KAUFMAN ROSSIN WEALTH HOLDINGS, LLC | CHIEF OPERATING OFFICER / ELECTED MANAGER | 05/2022 | |
| GARCES, IVAN | Individual | – | SECRETARY | 02/2022 | < 5% |
| SOCARRAS, MARIA, ELENA | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |