PROVIDENCE WEALTH MANAGEMENT LLC
Adviser information for PROVIDENCE WEALTH MANAGEMENT LLC last updated from Form ADV on February 8th, 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 | Tennessee, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 640 | $108.5M |
| Non-Discretionary | 0 | $0 |
| Total | 640 | $108.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 156 | $48.6M |
| HNW Individuals | 34 | $59.4M |
| 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 | 1 | $543,047 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCO-ADVISOR FEES |
Identifiers
| SEC RIA File Number | 801-123273 |
|---|---|
| SEC ERA File Number | 801-123273 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144902 |
| Legal Entity Identifier | None |
Principal Office
2030 FALLING WATERS ROADSUITE 175
KNOXVILLE
TN
United States
Monday - Friday, M-TH 9-5 PM, FRIDAY 9-NOON
Tel: 865-691-6699, Fax: 865-691-6697
Chief Compliance Officer
PAUL COCHRAN
CHIEF COMPLIANCE OFFICER
2030 FALLING WATERS RD
SUITE 175
KNOXVILLE
TN
United States
Tel:
865-691-6699
Fax:
865-691-6697
P***@*********************M
(Full email address available in API data)
Regulatory Contact
EVA CRAWFORD
COMPLIANCE/EVENT COORDINATOR
2030 FALLING WATERS RD
SUITE 175
KNOXVILLE
TN
United States
Tel:
865-691-6699
Fax:
865-691-6697
E**@*********************M
(Full email address available in API data)
Industry Affiliates
| PROVIDENCE ADVISORS GROUP, LLC | Insurance company or agency |
| PROVIDENCE LTC ADVISORS, INC. | Insurance company or agency |
| PROVIDENCE TAX ADVISORS, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COCHRAN, PAUL, WARREN | Individual | – | MANAGING MEMBER/CCO | 06/2007 | 50-75% |
| LANDIS, BRUCE, EDWARD | Individual | – | OWNER/MEMBER | 06/2007 | 50-75% |