THINKING BIG FINANCIAL
THINKING BIG FINANCIAL INC. Legal Name
Adviser information for THINKING BIG FINANCIAL last updated from Form ADV on February 16th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 232 | $60.1M |
| Non-Discretionary | 0 | $0 |
| Total | 232 | $60.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 72 | $22.2M |
| HNW Individuals | 16 | $37.5M |
| 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 | <5 | $380,885 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 9 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed feesFEES BASED ON CLIENT INCOME & NET WORTH |
Identifiers
| SEC RIA File Number | 801-123485 |
|---|---|
| SEC ERA File Number | 801-123485 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 287476 |
| Legal Entity Identifier | None |
Principal Office
928 BROADWAYSUITE 807
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 6:00 PM
Tel: (973) 224-1145, Fax: None
Chief Compliance Officer
JAMES J. MARROCCO
OWNER
928 BROADWAY
SUITE 807
NEW YORK
NY
United States
Tel:
(973) 224-1145
J**@***********************M
(Full email address available in API data)
Regulatory Contact
CHRIS STANLEY
FOUNDING PRINCIPAL, BEACH STREET LEGAL
PO BOX 31681
DES PERES
MO
United States
Tel:
(314) 441-6191
T***@*******************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 |
|---|---|---|---|---|---|
| MARROCCO, JAMES, J | Individual | – | SHAREHOLDER AND CCO | 03/2017 | > 75% |