AURA FINANCE
Adviser information for AURA FINANCE last updated from Form ADV on March 26th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 132 | $409,074 |
| Non-Discretionary | 0 | $0 |
| Total | 132 | $409,074 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 132 | $409,074 |
| 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 | 30 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMSubscription fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-123667 |
|---|---|
| SEC ERA File Number | 801-123667 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318940 |
| Legal Entity Identifier | None |
Principal Office
440 N BARRANCA AVECOVINA,
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 312-813-0089, Fax: None
Chief Compliance Officer
KELSEY WILLOCK
CEO
440 N BARRANCA AVE
#6219
COVINA
CA
United States
Tel:
+1-312-813-0089
K*****@*************O
(Full email address available in API data)
Regulatory Contact
JONATHAN LEE
CONSULTANT
485 MADISON AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212-751-4422
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 |
|---|---|---|---|---|---|
| WILLOCK, KELSEY, ANNE | Individual | – | CEO & CCO | 05/2021 | 50-75% |
| Cardin, Courtney, Carlyle | Individual | – | PRESIDENT | 05/2021 | 50-75% |