CALTIER ADVISORS, LLC
Adviser information for CALTIER ADVISORS, LLC last updated from Form ADV on March 28th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 2,304 | $6.9M |
| Total | 2,304 | $6.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,304 | $6.9M |
| HNW Individuals | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesINTERNET-BASED ADVICE |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-123596 |
|---|---|
| SEC ERA File Number | 801-123596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317263 |
| Legal Entity Identifier | None |
Principal Office
14269 DANIELSON ST.POWAY
CA
United States
Monday - Friday, 9:00AM-5:00PM PST
Tel: 619-354-2527, Fax: None
Chief Compliance Officer
JAMES JONES
EXECUTIVE OFFICER
5965 VILLAGE WAY STE 105-142
SAN DIEGO
CA
United States
Tel:
619-344-0291
J****@*************M
(Full email address available in API data)
Regulatory Contact
PARKER SMITH
EXECUTIVE OFFICER
5965 VILLAGE WAY STE 105-142
SAN DIEGO
CA
United States
Tel:
619 354 2527
P*****@*************M
(Full email address available in API data)
Industry Affiliates
| CALTIER | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALTIER INC. | Domestic Entity | – | MANAGER | 11/2021 | > 75% |
| SMITH, PARKER, ANDREW | Individual | – | EXECUTIVE OFFICER | 11/2021 | < 5% |
| BELCHER, MATTHEW, DAVID | Individual | – | EXECUTIVE OFFICER | 11/2021 | < 5% |
| HOOK, TRAVIS, CURRAN | Individual | – | EXECUTIVE OFFICER | 11/2021 | < 5% |
| JONES, JAMES, ALFRED | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |