PEBBLE FINANCE
PEBBLE RIA, LLC Legal Name
Adviser information for PEBBLE FINANCE 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 46 | $38,670 |
| Non-Discretionary | 0 | $0 |
| Total | 46 | $38,670 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $38,670 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-126731 |
|---|---|
| SEC ERA File Number | 801-126731 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323301 |
| Legal Entity Identifier | None |
Principal Office
37 TARBELL AVELEXINGTON
MA
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 203-249-0473, Fax: None
Chief Compliance Officer
MICHAEL JAMES ESDAILE
CHIEF OPERATING OFFICER
37 TARBELL AVE
LEXINGTON
MA
United States
Tel:
203-249-0473
J****@*************E
(Full email address available in API data)
Industry Affiliates
| PEBBLE FINANCE, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ESDAILE, MICHAEL, JAMES | Individual | PEBBLE FINANCE, INC. | CHIEF OPERATING OFFICER/MAJORITY SHAREHOLDER | 01/2021 | 50-75% |
| ESDAILE, MICHAEL, JAMES | Individual | – | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | 07/2022 | < 5% |
| PEBBLE FINANCE, INC. | Domestic Entity | – | MAJORITY SHAREHOLDER | 07/2022 | > 75% |
| Whitehead, Justin, Travis | Individual | – | SENIOR VICE PRESIDENT | 07/2022 | < 5% |
| Whitehead, Justin, Travis | Individual | PEBBLE FINANCE, INC. | CHIEF EXECUTIVE OFFICER/MAJORITY SHAREHOLDER | 01/2021 | 50-75% |