SECOND 50 FINANCIAL
SECOND 50 FINANCIAL LLC Legal Name
Adviser information for SECOND 50 FINANCIAL last updated from Form ADV on March 15th, 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 | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 397 | $221.8M |
| Non-Discretionary | 0 | $0 |
| Total | 397 | $221.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 73 | $34.9M |
| HNW Individuals | 56 | $186.9M |
| 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 | 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-123346 |
|---|---|
| SEC ERA File Number | 801-123346 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318626 |
| Legal Entity Identifier | None |
Principal Office
111 N. SEPULVEDA BLVDSUITE 300
MANHATTAN BEACH
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 424-260-1551, Fax: None
Chief Compliance Officer
DAVID SWIFT
PRINCIPAL
111 N. SEPULVEDA BLVD
SUITE 300
MANHATTAN BEACH
CA
United States
Tel:
424-260-1551
D*****@********************M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
COMPLIANCE COUNSEL (EXTERNAL)
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| ADAMS, KATHLEEN, ANN | Individual | – | FOUNDING PRINCIPAL | 01/2021 | 50-75% |
| SWIFT, DAVID, HUGH | Individual | – | FOUNDER/PRINCIPAL/CHIEF COMPLIANCE OFFICER | 01/2021 | 25-50% |