NORDWAND ADVISORS
NORDWAND ADVISORS, LLC Legal Name
Adviser information for NORDWAND ADVISORS 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 | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| 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 | 105 | $2.5B |
| Non-Discretionary | 4 | $969.5M |
| Total | 109 | $3.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3 | $935,317 |
| HNW Individuals | 13 | $2.1B |
| 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 | 12 | $1.4B |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
150 N. RADNOR CHESTER RDSUITE A270
RADNOR
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 484-630-2510, Fax: None
Chief Compliance Officer
GERALD KANE
150 N. RADNOR CHESTER RD
SUITE A270
RADNOR
PA
United States
Tel:
484-630-2510
G****@******************M
(Full email address available in API data)
Industry Affiliates
| NORDWAND INVESTMENTS, LLC | 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 |
|---|---|---|---|---|---|
| NORDWAND CAPITAL, LLC | Domestic Entity | – | MANAGING MEMBER | 07/2022 | > 75% |
| MARTIN, JAMES, FRANCIS | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | 11/2022 | < 5% |
| MARTIN, JAMES, FRANCIS | Individual | NORDWAND CAPITAL, LLC | OWNER | 11/2022 | > 75% |
| KANE, GERALD, JOSHUA | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |
| BOYLE, CHRISTOPHER, MICHAEL | Individual | – | CHIEF OPERATING OFFICER | 11/2022 | < 5% |
| DIMTER, LISA | Individual | – | CHIEF ADMINSTRATIVE OFFICER | 10/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 5th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 52K | 505 | – |
| ABBVIE INC | COM | 323K | 2K | – |
| AIR PRODS &CHEMS INC | COM | 12K | 45 | – |
| AIRBNB INC | COM CL A | 8K | 50 | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 9K | 120 | – |
| ALLOGENE THERAPEUTICS INC | COM | 2K | 1K | – |
| ALPHABET INC | CAP STK CL A | 246K | 1K | – |
| ALTUS POWER INC | COM CL A | 180K | 46K | – |
| AMAZON COM INC | COM | 300K | 2K | – |
| AMERICAN AIRLS GROUP INC | COM | 11K | 1K | – |
| AMERICAN ELEC PWR CO INC | COM | 236K | 3K | – |
| AMERICAN EXPRESS CO | COM | 31K | 135 | – |
| AMPRIUS TECHNOLOGIES INC | COMMON STOCK | 3K | 2K | – |
| APPLE INC | COM | 2M | 9K | – |
| APPLIED DNA SCIENCES INC | COM NEW | 408 | 1K | – |
| ARDAGH METAL PACKAGING S A | SHS | 3M | 896K | – |
| ARK ETF TR | INNOVATION ETF | 2K | 50 | – |
| ASTRAZENECA PLC | SPONSORED ADR | 31K | 400 | – |
| ATI PHYSICAL THERAPY INC | COM CL A | 7K | 2K | – |
| ATLANTICA SUSTAINABLE INFR P | SHS | 132K | 6K | – |
| BAIDU INC | SPON ADR REP A | 9K | 100 | – |
| BANK AMERICA CORP | COM | 22K | 545 | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 105M | 172 | – |
| BLACKROCK INC | COM | 28K | 35 | – |
| BLOCK INC | CL A | 6K | 100 | – |
| BLOOM ENERGY CORP | COM CL A | 57K | 5K | – |
| BROADCOM INC | COM | 257K | 160 | – |
| CATERPILLAR INC | COM | 140K | 420 | – |
| CERAGON NETWORKS LTD | ORD | 3K | 1K | – |
| CHEVRON CORP NEW | COM | 101K | 643 | – |
| CISCO SYS INC | COM | 37K | 770 | – |
| CITIGROUP INC | COM NEW | 79K | 1K | – |
| CITIZENS FINL GROUP INC | COM | 43K | 1K | – |
| CRESCENT CAP BDC INC | COM | 137K | 7K | – |
| CSX CORP | COM | 15K | 450 | – |
| DELTA AIR LINES INC DEL | COM NEW | 47K | 1K | – |
| DEVON ENERGY CORP NEW | COM | 253K | 5K | – |
| DHI GROUP INC | COM | 4K | 2K | – |
| DIAGEO PLC | SPON ADR NEW | 12K | 95 | – |
| DISNEY WALT CO | COM | 21K | 209 | – |
| DOCUSIGN INC | COM | 5K | 100 | – |
| DURECT CORP | COM NEW | 1K | 1K | – |
| EMCOR GROUP INC | COM | 160K | 438 | – |
| EMERSON ELEC CO | COM | 19K | 175 | – |
| FEMASYS INC | COM | 6K | 5K | – |
| FERGUSON PLC NEW | SHS | 121K | 625 | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 2K | 40 | – |
| FIRST TR VALUE LINE DIVID IN | SHS | 7K | 171 | – |
| FLUTTER ENTMT PLC | SHS | 241K | 1K | – |
| FS KKR CAP CORP | COM | 130K | 7K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 11K | 145 | – |
| GETAROUND INC | COM | 47K | 335K | – |
| GILEAD SCIENCES INC | COM | 14K | 200 | – |
| GOGORO INC | ORDINARY SHARES | 3K | 2K | – |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 5K | 45 | – |
| GOLDMAN SACHS GROUP INC | COM | 84K | 185 | – |
| GRAB HOLDINGS LIMITED | CLASS A ORD | 5M | 1M | – |
| GSK PLC | SPONSORED ADR | 315K | 8K | – |
| GUGGENHEIM ACTIVE ALLOC FD | COMMON STOCK | 246K | 17K | – |
| HONDA MOTOR LTD | ADR ECH CNV IN 3 | 228K | 7K | – |
| HONEYWELL INTL INC | COM | 14K | 65 | – |
| HUBBELL INC | COM | 146K | 399 | – |
| IMMUNEERING CORP | CLASS A COM | 3K | 2K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 293K | 2K | – |
| INTRUSION INC | COM | 1K | 1K | – |
| INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1000 | 52K | 1K | – |
| INVESCO INDIA EXCHANGE-TRADE | INDIA ETF | 40K | 1K | – |
| INVESCO QQQ TR | UNIT SER 1 | 9K | 19 | – |
| ISHARES INC | CORE MSCI EMKT | 382K | 7K | – |
| ISHARES TR | CORE S&P500 ETF | 484K | 885 | – |
| ISHARES TR | CORE US AGGBD ET | 87K | 893 | – |
| ISHARES TR | MSCI EMG MKT ETF | 28K | 669 | – |
| ISHARES TR | S&P 500 VAL ETF | 491K | 3K | – |
| ISHARES TR | MSCI EAFE ETF | 12K | 149 | – |
| J P MORGAN EXCHANGE TRADED F | INCOME ETF | 9M | 197K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 3M | 59K | – |
| JOHNSON &JOHNSON | COM | 49M | 332K | – |
| JPMORGAN CHASE &CO. | COM | 89K | 439 | – |
| KB FINL GROUP INC | SPONSORED ADR | 181K | 3K | – |
| KEURIG DR PEPPER INC | COM | 239K | 7K | – |
| LAMAR ADVERTISING CO NEW | CL A | 105K | 877 | – |
| LEXICON PHARMACEUTICALS INC | COM NEW | 7K | 4K | – |
| LIVEONE INC | COM | 3K | 2K | – |
| LSB INDS INC | COM | 1M | 156K | – |
| MERCK &CO INC | COM | 432K | 3K | – |
| MERSANA THERAPEUTICS INC | COM | 3K | 2K | – |
| META PLATFORMS INC | CL A | 277K | 550 | – |
| METLIFE INC | COM | 15K | 215 | – |
| MGIC INVT CORP WIS | COM | 124K | 6K | – |
| MICROSOFT CORP | COM | 10M | 21K | – |
| MIRION TECHNOLOGIES INC | COM CL A | 269K | 25K | – |
| MORGAN STANLEY | COM NEW | 11K | 113 | – |
| MP MATERIALS CORP | COM CL A | 931K | 73K | – |
| NETFLIX INC | COM | 162K | 240 | – |
| NOVARTIS AG | SPONSORED ADR | 21K | 200 | – |
| NOVOCURE LTD | ORD SHS | 26M | 2M | – |
| NVIDIA CORPORATION | COM | 173K | 1K | – |
| OAKTREE SPECIALTY LENDING CO | COM | 1M | 63K | – |
| OMEGA HEALTHCARE INVS INC | COM | 34K | 1K | – |
| OPENDOOR TECHNOLOGIES INC | COM | 368 | 200 | – |
| ORACLE CORP | COM | 28K | 200 | – |
| PAYPAL HLDGS INC | COM | 8K | 142 | – |
| PFIZER INC | COM | 7K | 250 | – |
| PHILIP MORRIS INTL INC | COM | 293K | 3K | – |
| PMV PHARMACEUTICALS INC | COM | 3K | 2K | – |
| PROCTER AND GAMBLE CO | COM | 21K | 125 | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 18K | 250 | – |
| RAIL VISION LTD | SHS NEW | 2K | 3K | – |
| REE AUTOMOTIVE LTD | SHS CL A NEW | 24K | 6K | – |
| ROKU INC | COM CL A | 12K | 200 | – |
| RTX CORPORATION | COM | 25K | 250 | – |
| SEER INC | COM CL A | 3K | 2K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 4K | 50 | – |
| SERIES PORTFOLIOS TR | PANAGRAM AAA | 126K | 5K | – |
| SERIES PORTFOLIOS TR | PANAGRAM BBB B | 609K | 23K | – |
| SIMON PPTY GROUP INC NEW | COM | 53K | 346 | – |
| SNOWFLAKE INC | CL A | 14K | 100 | – |
| SOLID POWER INC | CLASS A COM | 3K | 2K | – |
| SOLVENTUM CORP | COM SHS | 7K | 124 | – |
| SPDR GOLD TR | GOLD SHS | 40K | 185 | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 195K | 6K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 3K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 4K | 39 | – |
| SPECTRUM BRANDS HLDGS INC NE | COM | 215K | 3K | – |
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 125K | 3K | – |
| STARBUCKS CORP | COM | 10K | 124 | – |
| SUN LIFE FINANCIAL INC. | COM | 21K | 438 | – |
| SUPER LEAGUE ENTERPRISE INC | COM | 4K | 5K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 397K | 2K | – |
| TAPESTRY INC | COM | 260K | 6K | – |
| TESLA INC | COM | 89K | 450 | – |
| TJX COS INC NEW | COM | 44K | 400 | – |
| TRAVELERS COMPANIES INC | COM | 31K | 150 | – |
| TURNSTONE BIOLOGICS CORP | COM | 4K | 2K | – |
| UBER TECHNOLOGIES INC | COM | 25K | 350 | – |
| UNILEVER PLC | SPON ADR NEW | 165K | 3K | – |
| UNITED PARCEL SERVICE INC | CL B | 7K | 50 | – |
| UNITEDHEALTH GROUP INC | COM | 285K | 560 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3K | 5 | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 59K | 390 | – |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 53K | 230 | – |
| VANGUARD INDEX FDS | MID CAP ETF | 1K | 5 | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 654 | 3 | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 53K | 1K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 73K | 1K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 193K | 4K | – |
| VERIZON COMMUNICATIONS INC | COM | 311K | 8K | – |
| VISA INC | COM CL A | 30K | 115 | – |
| WALMART INC | COM | 25K | 366 | – |
| WELLS FARGO CO NEW | COM | 10K | 160 | – |
| XPENG INC | ADS | 1K | 200 | – |