STEVEN G. BLUM AND ASSOCIATES, LLC
Adviser information for STEVEN G. BLUM AND ASSOCIATES, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 250 | $91.1M |
| Non-Discretionary | 75 | $46.3M |
| Total | 325 | $137.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 14 | $4.6M |
| HNW Individuals | 45 | $132.8M |
| 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 | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Lawyer or law firm |
Identifiers
| SEC RIA File Number | 801-122860 |
|---|---|
| SEC ERA File Number | 801-122860 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130807 |
| Legal Entity Identifier | None |
Principal Office
801 YALE AVENUESWARTHMORE
PA
United States
Monday - Friday, 9AM TO 5PM
Tel: 610-328-7725, Fax: 801-437-3391
Websites
Chief Compliance Officer
STEVEN G. BLUM
MEMBER
801 YALE AVENUE
SWARTMORE
PA
United States
Tel:
610-328-7725
Fax:
801-437-3391
S*********@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BONFINI, MARY, QUINN | Individual | – | MEMBER | 01/2004 | 5-10% |
| BLUM, STEVEN, G. | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 01/2004 | > 75% |