EQ WEALTH ADVISORS
EQ WEALTH ADVISORS, LLC Legal Name
Adviser information for EQ WEALTH ADVISORS last updated from Form ADV on March 11th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 786 | $470.4M |
| Non-Discretionary | 0 | $0 |
| Total | 786 | $470.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 172 | $58.5M |
| HNW Individuals | 91 | $396.7M |
| 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 | <5 | $132,155 |
| 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 | 9 | $15.1M |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agentCONSULTING |
Identifiers
| SEC RIA File Number | 801-126838 |
|---|---|
| SEC ERA File Number | 801-126838 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322294 |
| Legal Entity Identifier | None |
Principal Office
10000 NORTH CENTRAL EXPRESS WAYSUITE 1350
DALLAS
TX
United States
Monday - Friday, 8:30AM-5PM
Tel: 214-389-6750, Fax: 214-389-6758
Websites
Chief Compliance Officer
PATRICIA HARRIS
CCO
10000 NORTH CENTRAL EXPRESS WAY
SUITE 1350
DALLAS
TX
United States
Tel:
214-389-6750
Fax:
214-389-6751
T*****@**************M
(Full email address available in API data)
Regulatory Contact
TOBY S. HARRIS
MANAGING MEMBER
10000 NORTH CENTRAL EXPRESS WAY
SUITE 1350
DALLAS
TX
United States
Tel:
214-389-6750
Fax:
214-389-6758
T***@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARRIS, TOBY, SCOTT | Individual | – | MANAGING MEMBER | 11/2022 | > 75% |
| HARRIS, PATRICIA | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |