PLATO'S PHILOSOPHY, LLC
Adviser information for PLATO'S PHILOSOPHY, LLC 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 | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1 | $39.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $39.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $39.4M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for investment companiesEducational seminars/workshops |
|---|---|
| Compensation | Fixed feesFIXED BASIS POINTS OF OVERALL EXPENSE RATIO |
Identifiers
| SEC RIA File Number | 801-126714 |
|---|---|
| SEC ERA File Number | 801-126714 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319564 |
| Legal Entity Identifier | None |
Principal Office
8164 PLATINUM STREETVENTURA
CA
United States
Monday - Friday, 0800 - 1700
Tel: 805-888-2384, Fax: None
Chief Compliance Officer
JOHN THOMAS MCDEVITT
234 WEST FLORIDA STREET
SUITE 203
MILWAUKEE
WI
United States
Tel:
610-368-1457
J********@**********M
(Full email address available in API data)
Regulatory Contact
KENNETH EDWARD TRAYNHAM
CHIEF LEGAL OFFICER
8164 PLATINUM STREET
VENTURA
CA
United States
Tel:
323-305-9544
K**@************M
(Full email address available in API data)
Industry Affiliates
| CAREY & HANNA TAX & WEALTH PLANNERS | Accountant or accounting firm |
| HOUSEHACK | Real estate broker or dealerSponsor, GP, manager of pooled investment vehicles |
| KENNETH E. TRAYNHAM, ESQ. | Lawyer or law firm |
| KEVIN PAFFRATH | Real estate broker or dealerSponsor, GP, manager of pooled investment vehicles |
| MEET KEVIN | Real estate broker or dealer |
| SUITHACK | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TIDAL 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 |
|---|---|---|---|---|---|
| Paffrath, Kevin, Helmut | Individual | – | CEO / PRESIDENT | 09/2022 | > 75% |
| MCDEVITT, JOHN, THOMAS | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| THOMASON, MCKAY, JOSEPH | Individual | – | CHIEF OPERATING OFFICER | 10/2022 | < 5% |
| Traynham, Kenneth, Edward | Individual | – | CHIEF LEGAL OFFICER | 06/2023 | < 5% |