DAVIS FINANCIAL PLANNING
DAVIS FINANCIAL PLANNING, LLC Legal Name
Adviser information for DAVIS FINANCIAL PLANNING last updated from Form ADV on March 7th, 2023. 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 | North Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 665 | $101.4M |
| Total | 665 | $101.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 108 | $60.9M |
| HNW Individuals | 22 | $40.5M |
| 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 | 14 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-123715 |
|---|---|
| SEC ERA File Number | 801-123715 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154186 |
| Legal Entity Identifier | None |
Principal Office
111 CENTRAL AVENUEASHEVILLE
NC
United States
BY APPOINTMENT ONLY, 8-5
Tel: 828-398-5050, Fax: 828-348-5514
Chief Compliance Officer
AL S. DAVIS
PRINCIPAL
111 CENTRAL AVENUE
ASHEVILLE
NC
United States
Tel:
828-398-5050
Fax:
828-348-5514
A*@*************************M
(Full email address available in API data)
Regulatory Contact
RICHARD BROWN
PARTNER
111 CENTRAL AVENUE
ASHEVILLE
NC
United States
Tel:
828-398-5050
Fax:
828-348-5514
R***@*************************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 |
|---|---|---|---|---|---|
| DAVIS, ALBERT, SULLIVAN | Individual | – | OWNER / CHIEF COMPLIANCE OFFICER | 06/2010 | 50-75% |
| Brown, Richard, Allan | Individual | – | OWNER | 01/2020 | 25-50% |
| Gordon, Adrianne, M | Individual | – | OWNER | 01/2022 | 10-25% |