ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICES, LLC Legal Name
Adviser information for ADVOCATE INVESTING SERVICES last updated from Form ADV on February 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 |
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Fiscal Year End | DECEMBER |
Legal Location | Maryland, United States |
Employees
Total Number of Employees | 4 |
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Investment Advisory/Research | 4 |
Registered Broker-Dealer Representatives | 3 |
Registered State Investment Advisers | 4 |
Licensed Agents of an Insurance Company | 3 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 310 | $129.7M |
Non-Discretionary | 0 | $0 |
Total | 310 | $129.7M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 145 | $30.8M |
HNW Individuals | 56 | $98.1M |
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 | <5 | $817,731 |
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 | 1 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 1-10 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesADVISORY CONSULTING |
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Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
Offers Wrap Fee Program | Yes |
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Acting As | RAUM |
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Sponsor | 0 |
Portfolio Manager | 0 |
Both for Same | 129.7M |
Portfolio Manager to Program | Sponsor |
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ADVOCATE INVESTING SERVICES WRAP FEE PROGRAM | ADVOCATE INVESTING SERVICES |
Identifiers
SEC RIA File Number | 801-125692 |
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SEC ERA File Number | 801-125692 |
SEC CIK Numbers | None |
SEC CRD Numbers | 273035 |
Legal Entity Identifier | None |
Principal Office
15949 FREDERICK ROADWOODBINE
MD
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 240-403-0039, Fax: 240-403-0040
Websites
Chief Compliance Officer
JOSEPH GALLAGHER
INVESTMENT ADVISER REPRESENTATIVE
15949 FREDERICK ROAD
WOODBINE
MD
United States
Tel:
240-403-0039
Fax:
240-403-0040
J************@********************M
(Full email address available in API data)
Regulatory Contact
HEIDI HITCHCOCK
15949 FREDERICK ROAD
WOODBINE
MD
United States
Tel:
240-403-0039
Fax:
240-403-0040
H**************@********************M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
GALLAGHER, JOSEPH, RAYMOND | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 03/2005 | > 75% |