CONQUIS FINANCIAL LLC
Adviser information for CONQUIS FINANCIAL LLC last updated from Form ADV on March 25th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 234 | $206.9M |
| Non-Discretionary | 0 | $0 |
| Total | 234 | $206.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8 | $5.0M |
| HNW Individuals | 40 | $201.9M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
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 feesHYBRID: FIXED+PERCENTAGE OF ASSETS UNDER MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-123701 |
|---|---|
| SEC ERA File Number | 801-123701 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319579 |
| Legal Entity Identifier | None |
Principal Office
1 LA CRUZ AVENUE, SUITE 202MILLBRAE
CA
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 971-371-3450, Fax: None
Chief Compliance Officer
CHARLES C. BLACK
COMPLIANCE CONSULTANT
6224 TURPIN HILLS DR
CINCINNATI
OH
United States
Tel:
859-474-2413
C************@******O
(Full email address available in API data)
Regulatory Contact
KATHERINE SMMONDS
PRESIDENT/CEO
1 LA CRUZ AVENUE
SUITE 202
MILBRAE
CA
United States
Tel:
650-651-3606
K********@**********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 |
|---|---|---|---|---|---|
| SIMMONDS, KATHERINE, ANN | Individual | – | PRESIDENT/CHIEF EXECUTIVE OFFICER | 03/2022 | > 75% |
| BLACK, CHARLES, CURTIS | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |