PROACTIVE WEALTH STRATEGIES, LLC
Adviser information for PROACTIVE WEALTH STRATEGIES, LLC last updated from Form ADV on February 1st, 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 | Georgia, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 872 | $224.0M |
| Non-Discretionary | 0 | $0 |
| Total | 872 | $224.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 352 | $61.7M |
| HNW Individuals | 219 | $162.3M |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 224.0M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PROACTIVE WEALTH STRATEGIES WRAP FEE PROGRAM | PROACTIVE WEALTH STRATEGIES LLC |
Identifiers
| SEC RIA File Number | 801-123491 |
|---|---|
| SEC ERA File Number | 801-123491 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318872 |
| Legal Entity Identifier | None |
Principal Office
533 JOHNSON FERRY ROAD BLDG. CSUITE 100
MARIETTA
GA
United States
Monday - Friday, 9-5
Tel: 770-971-4142, Fax: None
Chief Compliance Officer
CRAIG SELIGMAN
PARTNER
533 JOHNSON FERRY ROAD
BLDG C-100
MARIETTA
GA
United States
Tel:
770-971-4142
C********@*************M
(Full email address available in API data)
Regulatory Contact
ASHLEIGH SWAYZE
COUNSEL
NEWTOWN YARDLEY ROAD
660
NEWTOWN
PA
United States
Tel:
6463953900
I***@************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 |
|---|---|---|---|---|---|
| SELIGMAN, CRAIG, RYAN | Individual | – | PARTNER AND CHIEF COMPLIANCE OFFICER | 05/2005 | 50-75% |
| DERSO, CYNTHIA, MARSHALL | Individual | – | PARTNER | 05/2005 | 50-75% |