FINANCIAL ABUNDANCE, INC.
Adviser information for FINANCIAL ABUNDANCE, INC. last updated from Form ADV on March 20th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 1,444 | $204.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,444 | $204.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 379 | $110.5M |
| HNW Individuals | 59 | $94.3M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesCO-ADVISOR |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-123653 |
|---|---|
| SEC ERA File Number | 801-123653 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143300 |
| Legal Entity Identifier | None |
Principal Office
2134 SANDY DRIVESUITE 1
STATE COLLEGE
PA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 814-867-5745, Fax: 814-867-5747
Chief Compliance Officer
ASHTON S. IMMEL
IAR/CO-OWNER
2134 SANDY DRIVE
SUITE 1
STATE COLLEGE
PA
United States
Tel:
814-867-5745
Fax:
814-867-5747
A*****@************************M
(Full email address available in API data)
Regulatory Contact
RUBIN PAUL NICHOLS
PRESIDENT
2134 SANDY DRIVE
SUITE ONE
STATE COLLEGE
PA
United States
Tel:
814-867-5745
Fax:
814-867-5747
P****@************************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 |
|---|---|---|---|---|---|
| NICHOLS, RUBIN, PAUL | Individual | – | PRESIDENT, SHAREHOLDER | 02/2007 | > 75% |
| IMMEL, ASHTON, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER, SHAREHOLDER | 02/2022 | 10-25% |