Hedge Fund Database

49 FINANCIAL

49 WEALTH MANAGEMENT, LLC Legal Name

Adviser information for 49 FINANCIAL last updated from Form ADV on March 29th, 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 Texas, United States

Employees

Total Number of Employees 104
Investment Advisory/Research 74
Registered Broker-Dealer Representatives 20
Registered State Investment Advisers 74
Licensed Agents of an Insurance Company 72
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,364 $566.2M
Non-Discretionary 0 $0
Total 3,364 $566.2M

Clients

Type Number RAUM
Individuals 3,282 $358.6M
HNW Individuals 82 $207.6M
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 businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-123687
SEC ERA File Number 801-123687
SEC CIK Numbers 2022291
SEC CRD Numbers 319484
Legal Entity Identifier None

Principal Office

916 S CAPITAL OF TEXAS HIGHWAY
SUITE 2.100
AUSTIN
TX
United States
BY APPOINTMENT ONLY, 9AM-5PM
Tel: 214-563-1190, Fax: None

Websites

www.facebook.com/49financial www.linkedin.com/company/49financialgroup instagram.com/49financial?igshid=ymmymta2m2y= m.youtube.com/@49financial#menu www.49financial.com/

Chief Compliance Officer

LUKE WINSKOWSI
MEMBER
916 S CAPITAL OF TEXAS HIGHWAY
SUITE 2.100
AUSTIN
TX
United States
Tel: 214-563-1190
(Full email address available in API data)

Industry Affiliates

49 MANAGEMENT COMPANY, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
49 WEALTH MANAGEMENT, LLC Domestic Entity – OWNER 10/2022 > 75%
SIMS, MATTHEW, KYLE Individual – MANAGING MEMBER 10/2022 < 5%
49 HOLDINGS, LLC Domestic Entity 49 WEALTH MANAGEMENT, LLC MANAGING MEMBER 10/2022 > 75%
PENFIELD, TRAVIS, Jordan Individual 49 HOLDINGS, LLC MANAGING MEMBER 11/2019 > 75%
49 HOLDINGS, LLC Domestic Entity – MANAGING MEMBER 10/2022 > 75%
WINSKOWSKI, LUCAS, WALTER MILLER Individual – CHIEF COMPLIANCE OFFICER 04/2024 < 5%

No. Employees, Historic

200100020222023202420251 on 3/11/20221 on 6/7/20221 on 6/30/20221 on 7/29/20225 on 10/10/20225 on 10/11/20225 on 10/11/20225 on 11/2/20225 on 12/22/20225 on 1/3/20235 on 1/11/202355 on 3/17/202354 on 9/28/202353 on 11/5/202352 on 11/6/202351 on 12/20/202348 on 2/27/2024104 on 3/29/2024

RAUM, Historic

600M300M020222023202420250 on 3/11/20220 on 6/7/20220 on 6/30/20220 on 7/29/20220 on 10/10/20220 on 10/11/20220 on 10/11/20220 on 11/2/20220 on 12/22/20220 on 1/3/2023135000000 on 1/11/2023230561939 on 3/17/2023230561939 on 9/28/2023230561939 on 11/5/2023230561939 on 11/6/2023230561939 on 12/20/2023230561939 on 2/27/2024566217984 on 3/29/2024

No. Clients, Historic

4,0002,000020222023202420250 on 3/11/20220 on 6/7/20220 on 6/30/20220 on 7/29/20220 on 10/10/20220 on 10/11/20220 on 10/11/20220 on 11/2/20220 on 12/22/20220 on 1/3/20231161 on 1/11/20232262 on 3/17/20232262 on 9/28/20232262 on 11/5/20232262 on 11/6/20232262 on 12/20/20232262 on 2/27/20243364 on 3/29/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
1ST FINL BANKSH COM 344K 12K –
908 DEVICES INC COM 128K 27K –
ABBOTT LABORATORIES COM 252K 2K –
ABBVIE INC COM 263K 2K –
ABSOLUTE SELECT VALUE ETF ABSOLUTE CORE 353K 12K –
ACCENTURE PLC F CLASS A SHS CLASS A 284K 939 –
AFLAC INC COM 954K 11K –
ALPHABET INC. CLASS A CAP STK CL A 2M 9K –
ALPHABET INC. CLASS C CAP STK CL C 1M 7K –
AMAZON.COM INC COM 2M 9K –
AMERICAN CENTURY US QLT GRWT ETF STOXX US QLTY 2M 23K –
ANNEXON INC COM 51K 10K –
APPLE INC COM 6M 30K –
APPLIED MATERIALS COM 656K 3K –
BERKSHIRE HATHAWAY CLASS B CL B NEW 622K 2K –
BLACKROCK ULTRA SHORT TERM BOND ETF BLACKROCK ULTRA 5M 97K –
BROADCOM INC COM 609K 371 –
BUTTERFLY NETWORK INC CLASS A COM CL A 25K 28K –
CAMBRIA SHAREHOLDER YIELD ETF SHSHLD YIELD ETF 923K 14K –
CATERPILLAR INC COM 243K 738 –
CHENIERE ENERGY INC COM NEW 647K 4K –
CHEVRON CORP COM 451K 3K –
COGENT BIOSCIENCES INC COM 112K 13K –
COMCAST CORP CLASS A CL A 209K 5K –
CONOCOPHILLIPS COM 232K 2K –
COSTCO WHOLESALE CO COM 596K 705 –
DIMENSIONAL U S SMALL CAP ETF US SMALL CAP ETF 526K 9K –
DIMENSIONAL US MARKETWIDE VALUE ETF US MKTWIDE VALUE 351K 9K –
ELI LILLY AND CO COM 409K 448 –
EXXON MOBIL CORP COM 1M 12K –
FEDEX CORP COM 260K 871 –
FIRST TR SMALL CAP GROW ALPHADEX ETF SML CP GRW ALP 277K 4K –
FIRST TRUST VALUE DIVIDEND INDEX ETF SHS 575K 14K –
GOLDMAN SACHS GROUP COM 491K 1K –
GUARDANT HEALTH INC COM 221K 8K –
HOME DEPOT INC COM 326K 970 –
INVESCO RUSSELL 1000 DYMC MLTFCT ETF RUSL 1000 DYNM 604K 12K –
INVESCO RUSSLL 2000 DYMC MLTFCTR ETF RUSL 2000 DYNM 369K 10K –
INVESCO S & P MIDCAP MOMENTUM ETF S&P MDCP MOMNTUM 238K 2K –
INVESCO S & P SMALLCAP VALUE WITH MOMENTUM ETF S&P SMCP VLU MNT 1M 27K –
INVESCO S AND P 500 GARP ETF S&P 500 GARP ETF 3M 28K –
INVSC ACTVLY MNG OPTM YD DVRS ETF OPTIMUM YIELD 14M 951K –
INVSC BULLETSHARES 2027 CRP BND ETF BULSHS 2027 CB 13M 668K –
INVSC BULLETSHARS 2026 CORP BND ETF BULSHS 2026 CB 5M 247K –
INVSC BULLTSH 2026 HG YLD CRP BD ETF INVSCO BLSH 26 2M 81K –
INVSC QQQ TRUST SRS 1 ETF IV UNIT SER 1 2M 3K –
INVSC S P 500 EQUAL WEIGHT ETF S&P500 EQL WGT 459K 3K –
INVSC S P 500 PURE GROWTH ETF S&P500 PUR GWT 646K 17K –
ISHARES 0-5 YEAR TIPS BOND ETF 0-5 YR TIPS ETF 2M 19K –
ISHARES 7-10 YEAR TRSURY BOND ETF BARCLAYS 7 10 YR 3M 30K –
ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE 203K 3K –
ISHARES CORE MSCI EMERGING ETF CORE MSCI EMKT 8M 143K –
ISHARES CORE S&P 500 ETF CORE S&P500 ETF 5M 8K –
ISHARES CORE S&P MID CAP ETF CORE S&P MCP ETF 460K 8K –
ISHARES CORE S&P SMALL CAP ETF CORE S&P SCP ETF 891K 8K –
ISHARES CORE US AGGREGATE BOND ETF CORE US AGGBD ET 6M 60K –
ISHARES MORNINGSTAR MID CAP ETF MRGSTR MD CP ETF 329K 5K –
ISHARES MSCI EAFE ETF MSCI EAFE ETF 317K 4K –
ISHARES MSCI EMERGING MARKETS ETF MSCI EMG MKT ETF 340K 8K –
ISHARES MSCI USA QLTY FACT ETF MSCI USA QLT FCT 30M 176K –
ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 242K 658 –
ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 6M 29K –
ISHARES RUSSELL MID CAP ETF RUS MID CAP ETF 432K 5K –
ISHARES S&P 500 GROWTH ETF S&P 500 GRWT ETF 763K 8K –
ISHARES S&P SMLL CAP 600 GRTH ETF S&P SML 600 GWT 272K 2K –
ISHARES SHORT TREASURY BOND ETF SHORT TREAS BD 6M 51K –
ISHARES U S CONSUMER STAPLES ETF U.S. CNSM GD ETF 836K 13K –
ISHARES US HEALTHCARE PRO ETF US HLTHCR PR ETF 2M 30K –
ISHS MSCI INTL QUALITY FACT ETF MSCI INTL QUALTY 37M 960K –
J P MORGAN CHASE & CO COM 683K 3K –
J P MORGAN NASDAQ EQT PRM INC ETF NASDAQ EQT PREM 689K 12K –
JANUS HENDERSON AAA CLO ETF HENDRSON AAA CL 12M 242K –
JOHNSON & JOHNSON COM 211K 1K –
JPMORGAN EQUITY PREMIUM INCOME ETF EQUITY PREMIUM 38M 679K –
JPMORGAN INCOME ETF INCOME ETF 992K 22K –
JPMORGAN MUNICIPAL ETF MUNICIPAL ETF 6M 124K –
JPMORGAN U.S. QUALITY FACTOR ETF US QUALTY FCTR 441K 8K –
JPMORGAN ULTRA SHORT INCOME ETF ULTRA SHRT INC 487K 10K –
JPMORGAN ULTRA SHRT MUNCIPL INCM ETF ULTRA SHT MUNCPL 2M 45K –
JPMRG DVSFD RETN EMRG MRKS EQY ETF DIV RTN EM EQT 3M 54K –
LAM RESEARCH CORP COM 267K 252 –
LIVE OAK BANCSHARES INCO COM 342K 10K –
MARATHON OIL CORP COM 373K 13K –
MCKESSON CORP COM 439K 749 –
MEDICAL PROPERTIES REIT COM 70K 17K –
MEDTRONIC PLC F SHS 402K 5K –
MERCK & CO. INC. COM 601K 5K –
META PLATFORMS INC CLASS A CL A 375K 743 –
MICROSOFT CORP COM 3M 7K –
MIMEDX GROUP INC COM 74K 11K –
NCINO INC NEW COM 1M 44K –
NETFLIX INC COM 403K 599 –
NIO INC F SPONSORED ADR 1 ADR REPS 1 ORD SHS SPON ADS 62K 14K –
NOVO-NORDISK AS VORMAL F SPONSORED ADR 1 ADR REPS 1 ORD SHS ADR 216K 1K –
NUVEEN PREFERRED INCOME COM 346K 46K –
NVIDIA CORP COM 2M 14K –
OPAL DIVIDEND INCOME ETF OPAL DIVD INCM E 44M 1M –
ORACLE CORP COM 330K 2K –
PACER US CASH COWS 100 ETF US CASH COWS 100 23M 428K –
PFIZER INC COM 217K 8K –
PHILIP MORRIS INTL COM 238K 2K –
PHILLIPS 66 COM 534K 4K –
PIMCO ENHANCED SHRT MATURTY ACTV ETF ENHAN SHRT MA AC 3M 30K –
PIMCO ENHNCD LW DRTN ACTV ETF ENHNCD LW DUR AC 5M 57K –
PIMCO INTRMEDIATE MUNI BOND ACTV ETF INTER MUN BD ACT 370K 7K –
PIMCO SENIOR LOAN ACTIVE ETF SR LN ACTIVE ETF 7M 146K –
PLUG POWER INC COM 38K 17K –
PROCTER & GAMBLE COM 2M 14K –
PROGRESSIVE CO OHIO COM 274K 1K –
Q2 HOLDINGS INC COM 217K 4K –
QUALCOMM INC COM 271K 1K –
REGO PAYMENT ARCHITECTUR CL A 46K 56K –
ROYALTY MGMT HLDG CORP CLASS A CLASS A COM 10K 12K –
SALESFORCE INC COM 234K 914 –
SCHWAB FUNDMTL US BROAD MKT ETF SCHWAB FDT US BM 238K 4K –
SCHWAB US BROAD MARKET ETF US BRD MKT ETF 203K 3K –
SCHWAB US DIVIDEND EQUITY ETF US DIVIDEND EQ 584K 8K –
SELECT SECTOR UTI SELECT SPDR ETF SBI INT-UTILS 6M 83K –
SOLARIS OILFIELD CLASS A COM CL A 91K 11K –
SPDR BLMRG SHR TR HG YLD BD ETF BLOOMBERG SRT TR 6M 230K –
SPDR BLOOMBERG 1 3 MNTH T BLL ETF BLOOMBERG 1-3 MO 19M 207K –
SPDR PORTFOLIO S&P 500 ETF PORTFOLIO S&P500 8M 126K –
SPDR S&P 500 ETF TR UNIT 1M 2K –
SPDR S&P BIOTECH ETF S&P BIOTECH 213K 2K –
STARBUCKS CORP COM 379K 5K –
STRAT ENV & ENERGY COM 4K 50K –
SUNRUN INC. COM 158K 14K –
TESLA INC COM 267K 1K –
TEXAS INSTRUMENTS COM 306K 2K –
THE COCA-COLA CO COM 832K 13K –
THERMO FISHER SCNTFC COM 233K 430 –
TRIUMPH FINL INC COM 1M 15K –
UNITEDHEALTH GRP INC COM 285K 575 –
US TREASURY 10 YEAR NOTE ETF US TREASR 10 YR 8M 176K –
US TREASURY 12 MONTH BILL ETF US TREASRY 12 MT 9M 175K –
US TREASURY 2 YEAR NOTE ETF US TREASY 2 YR 3M 64K –
US TREASURY 3 MONTH BILL ETF US TREAS 3 MNTH 6M 124K –
US TREASURY 6 MONTH BILL ETF US TRSRY 6 MNTH 8M 165K –
VANGUARD FTSE ALL WORLD EX US ETF ALLWRLD EX US 366K 6K –
VANGUARD FTSE DEVELOPED MARKETS ETF FTSE DEV MKT ETF 3M 54K –
VANGUARD HIGH DIVIDEND YIELD ETF HIGH DIV YLD 684K 6K –
VANGUARD INTERMEDIATE TERM COR ETF INT-TERM CORP 6M 72K –
VANGUARD INTRMDIAT TRM TRSRY ETF INTER TERM TREAS 8M 130K –
VANGUARD LONG TERM TREASURY ETF LONG TERM TREAS 13M 232K –
VANGUARD MEGA CAP GROWTH ETF MEGA GRWTH IND 296K 933 –
VANGUARD MID CAP ETF MID CAP ETF 567K 2K –
VANGUARD MID CAP GROWTH ETF MCAP GR IDXVIP 355K 2K –
VANGUARD MID CAP VALUE ETF MCAP VL IDXVIP 380K 3K –
VANGUARD S&P 500 ETF S&P 500 ETF SHS 637K 1K –
VANGUARD S&P MID CAP 400 ETF MIDCP 400 IDX 213K 2K –
VANGUARD SHORT TERM COR BD ETF SHRT TRM CORP BD 6M 73K –
VANGUARD TOTAL STOCK MARKET ETF TOTAL STK MKT 485K 2K –
VANGUARD VALUE ETF VALUE ETF 38M 235K –
VGRD FTSE ALL WRLD EX US SML CAP ETF FTSE SMCAP ETF 7M 59K –
VISA INC CLASS A COM CL A 689K 3K –
WALMART INC COM 593K 9K –
ZENTALIS PHARMACEUTICALS COM 52K 12K –
ZOOMINFO TECHNOLOGIES IN COMMON STOCK 162K 13K –