WAO ADVISORY, LLC
Adviser information for WAO ADVISORY, LLC last updated from Form ADV on March 15th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $6,382 |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $6,382 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $6,382 |
| HNW Individuals | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-124990 |
|---|---|
| SEC ERA File Number | 801-124990 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 320688 |
| Legal Entity Identifier | None |
Principal Office
7336 W POST ROADSUITE 111
LAS VEGAS
NV
United States
Monday - Friday, 7:00AM-4:00PM PST
Tel: 800-777-9878, Fax: None
Chief Compliance Officer
MARYANN BULLION
7336 W POST ROAD
SUITE 111
LAS VEGAS
NV
United States
Tel:
800-777-9878
C*********@***************M
(Full email address available in API data)
Regulatory Contact
ASPECT ADVISORS
COMPLIANCE CONSULTANT
201 CALIFORNIA ST
SUITE 350
SAN FRANCISCO
CA
United States
Tel:
415-423-3445
B******@************M
(Full email address available in API data)
Industry Affiliates
| DIGITAL TRUST, LLC | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WAO FINTECH, LLC | Domestic Entity | – | OWNER | 10/2023 | > 75% |
| FETTE, THERESA, ANH | Individual | WAO FINTECH, LLC | CO-CEO, MANAGER | 02/2021 | 25-50% |
| CONCHA, CAMILO, ANDRES | Individual | WAO FINTECH, LLC | CO-CEO, MANAGER | 02/2021 | 25-50% |
| IVES, CHARLES, JAMES | Individual | – | CHIEF OPERATING OFFICER | 11/2023 | < 5% |
| FETTE, THERESA, ANH | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2023 | < 5% |
| BULLION MITCHELL, MARYANN, MARGARET | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |