DAVID P. GILLIAM & ASSOCIATES, INC.
Adviser information for DAVID P. GILLIAM & ASSOCIATES, INC. last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 62 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 506 | $136.7M |
| Non-Discretionary | 0 | $0 |
| Total | 506 | $136.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 276 | $68.7M |
| HNW Individuals | 44 | $60.5M |
| 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 | 9 | $3.8M |
| Charitable organizations | 4 | $3.2M |
| 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 | <5 | $537,168 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123723 |
|---|---|
| SEC ERA File Number | 801-123723 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285515 |
| Legal Entity Identifier | None |
Principal Office
2600 WEST JACKSONMUNCIE
IN
United States
Monday - Friday, 8:00 A.M. TO 12:00 P.M. AND 1:00 P.M. TO 4:30 P.M.
Tel: 765-281-0012, Fax: 765-281-9287
Chief Compliance Officer
DAVID GILLIAM
PRESDENT/CEO
2600 WEST JACKSON
MUNCIE
IN
United States
Tel:
765-281-0012
Fax:
765-281-9287
D****@****************T
(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 |
|---|---|---|---|---|---|
| GILLIAM, KAREN, KAY | Individual | – | SHAREHOLDER | 11/2016 | 50-75% |
| GILLIAM, DAVID, PAUL | Individual | – | SHAREHOLDER/CCO | 11/2016 | 50-75% |