ENVESTNET EMBEDDED ADVISORY, INC.
Adviser information for ENVESTNET EMBEDDED ADVISORY, INC. last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 26 | $10,415 |
| Non-Discretionary | 0 | $0 |
| Total | 26 | $10,415 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 26 | $10,415 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 10,415 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ENVESTNET EMBEDDED ADVISORY PROGRAM | ENVESTNET EMBEDDED ADVISORY, INC. |
Identifiers
| SEC RIA File Number | 801-126477 |
|---|---|
| SEC ERA File Number | 801-126477 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322162 |
| Legal Entity Identifier | None |
Principal Office
ONE NORTH WACKER DRIVESUITE 1925
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 312-827-2800, Fax: None
Chief Compliance Officer
IAIN EDWARD MCEWAN
1000 CHESTERBROOK BLVD
SUITE 250
BERWYN
PA
United States
Tel:
(484) 328-5366
I**********@************M
(Full email address available in API data)
Regulatory Contact
DEBRA JANE DEVOE
SVP, MANAGING DIRECTOR, COMPLIANCE
ONE NORTH WACKER DRIVE
SUITE 1925
CHICAGO
IL
United States
Tel:
(312) 827-7950
D**********@************M
(Full email address available in API data)
Industry Affiliates
| ATEGENOS CAPITAL, LLC | Other investment adviser, including financial planners |
| ENVESTNET PMC | Other investment adviser, including financial planners |
| ENVESTNET PORTFOLIO SOLUTIONS, INC. | Other investment adviser, including financial planners |
| ENVESTNET RETIREMENT SOLUTIONS, LLC | Other investment adviser, including financial planners |
| ENVESTNET SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FDX ADVISORS, INC. | Other investment adviser, including financial planners |
| FIDX MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| QRG CAPITAL MANAGEMENT, INC. | 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 |
|---|---|---|---|---|---|
| ENVESTNET, INC. | Domestic Entity | – | SHAREHOLDER | 05/2022 | > 75% |
| MCEWAN, IAIN, EDWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| O'BRIEN, SHELLY, S | Individual | – | CHIEF LEGAL OFFICER/GENERAL COUNSEL/SECRETARY | 03/2023 | < 5% |
| SIPP, THOMAS, MICHAEL | Individual | – | EVP, ENVESTNET BUSINESS LINES | 03/2023 | < 5% |
| D'AURIA, DANA, MARIE | Individual | – | CO-CIO | 03/2023 | < 5% |
| THOMAS, BRANDON, ROCKWELL | Individual | – | CO-CIO | 03/2023 | < 5% |
| WARREN, JOSHUA, B. | Individual | – | CHIEF FINANCIAL OFFICER | 03/2024 | < 5% |
| FOX, JAMES, LAWRENCE | Individual | – | INTERIM CHIEF EXECUTIVE OFFICER | 04/2024 | < 5% |