SPECTRUM FINANCIAL RESOURCES
SPECTRUM FINANCIAL RESOURCES, LLC Legal Name
Adviser information for SPECTRUM FINANCIAL RESOURCES last updated from Form ADV on March 26th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 481 | $93.2M |
| Non-Discretionary | 565 | $104.2M |
| Total | 1,046 | $197.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 256 | $135.8M |
| HNW Individuals | 55 | $61.6M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)CONSULTING SERVICES AND SEMINARS |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesREFERRAL FEES FROM THIRD-PARTY MANAGERS |
Identifiers
| SEC RIA File Number | 801-126271 |
|---|---|
| SEC ERA File Number | 801-126271 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127453 |
| Legal Entity Identifier | None |
Principal Office
6915 ROCHESTER RD., STE 200TROY
MI
United States
Monday - Friday, 9:00 A.M.-4:00 P.M.
Tel: 248-643-0033, Fax: 248-643-0066
Chief Compliance Officer
DANIEL T. HOBAN
GENERAL PARTNER
6915 ROCHESTER RD., STE 200
TROY
MI
United States
Tel:
248-643-0033
Fax:
248-643-0066
D*****@*************M
(Full email address available in API data)
Industry Affiliates
| BUNCH TAX SERVICE | Accountant or accounting firm |
| LAW OFFICES OF DAVID J. LAIDLAW PC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOBAN, DANIEL, THOMAS | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 10/2009 | 50-75% |
| SCHNEIDER, JEAN, ANN | Individual | – | MANAGING MEMBER | 10/2009 | 50-75% |