ARK WEALTH MANAGEMENT
ARK WEALTH MANAGEMENT, LLC Legal Name
Adviser information for ARK WEALTH MANAGEMENT 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 465 | $144.6M |
| Non-Discretionary | 0 | $0 |
| Total | 465 | $144.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 122 | $57.1M |
| HNW Individuals | 28 | $73.9M |
| 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 | 24 | $6.9M |
| Charitable organizations | <5 | $270,287 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 9 | $6.3M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123029 |
|---|---|
| SEC ERA File Number | 801-123029 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317264 |
| Legal Entity Identifier | None |
Principal Office
10800 PECAN PARK BLVDSTE 100
AUSTIN
TX
United States
Monday - Friday, 8-5
Tel: 512-660-5703, Fax: None
Chief Compliance Officer
CHRIS CHAPMAN
DIRECTOR OF OPERATIONS/CHIEF OF STAFF
10800 PECAN PARK BLVD
STE 100
AUSTIN
TX
United States
Tel:
512-660-5703
C*******@***************M
(Full email address available in API data)
Regulatory Contact
DAVID BULL
MEMBER
10800 PECAN PARK BLVD
STE 100
AUSTIN
TX
United States
Tel:
5126605703
D********@***************M
(Full email address available in API data)
Industry Affiliates
| ARK INSURANCE GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOFF, MATTHEW, WAYNE | Individual | – | CHIEF INVESTMENT OFFICER | 10/2021 | < 5% |
| Chapman, Christopher, Ray | Individual | – | CHIEF COMPLIANCE OFFICER, DIRECTOR OF OPERATIONS, CHIEF OF STAFF | 02/2022 | < 5% |
| ARK FINANCIAL HOLDINGS, LLC | Domestic Entity | – | OWNER | 10/2021 | > 75% |
| BULL, DAVID, JAMES | Individual | ARK FINANCIAL HOLDINGS, LLC | OWNER | 04/2020 | > 75% |