SAS FINANCIAL ADVISORS, LLC.
Adviser information for SAS FINANCIAL ADVISORS, LLC. last updated from Form ADV on March 27th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 434 | $120.0M |
| Non-Discretionary | 0 | $0 |
| Total | 434 | $120.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 190 | $50.0M |
| HNW Individuals | 32 | $70.0M |
| 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 | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-124837 |
|---|---|
| SEC ERA File Number | 801-124837 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288015 |
| Legal Entity Identifier | None |
Principal Office
50 CALIFORNIA STREETSUITE 1500
SAN FRANCISCO
CA
United States
Monday - Friday, 9-5PM
Tel: 415-277-5955, Fax: None
Websites
Chief Compliance Officer
IRA FATEMAN
MANAGING MEMBER/CCO
50 CALIFORNIA STREET
SUITE 1500
SAN FRANCISCO
CA
United States
Tel:
415-277-5955
I**@**************M
(Full email address available in API data)
Regulatory Contact
ELIZABETH MAY PRINDLE
ADVISOR/OPERATIONS
50 CALIFORNIA STREET
SUITE 1500
SAN FRANCISCO
CA
United States
Tel:
415-277-5955
E********@**************M
(Full email address available in API data)
Industry Affiliates
| CHRYSALID FINANCIAL, LLC | Other investment adviser, including financial planners |
| NASIRA FINANCIAL | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FATEMAN, IRA, HAROLD | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 10/2003 | > 75% |
| PRINDLE, ELIZABETH, MAY | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 12/2017 | 10-25% |
| SAN MIGUEL LOPEZ, MONIQUE, RENEE | Individual | – | INVESTMENT ADVISOR REPRESENTATIVE & MEMBER | 01/2021 | 5-10% |