AUA PRIVATE WEALTH ADVISORS, LLC
Adviser information for AUA PRIVATE WEALTH ADVISORS, LLC last updated from Form ADV on February 21st, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 71 | $98.2M |
| Non-Discretionary | 0 | $0 |
| Total | 71 | $98.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 3 | $39.6M |
| 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 | 1 | $18.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 24 | $40.3M |
| 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-126972 |
|---|---|
| SEC ERA File Number | 801-126972 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323621 |
| Legal Entity Identifier | None |
Principal Office
FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE,SUITE 400
WEST CONSHOHOCKEN
PA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: (484) 965-0991, Fax: None
Chief Compliance Officer
MICHAEL JOSEPH HOOK
FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE
SUITE 400
WEST CONSHOHOCKEN
PA
United States
Tel:
(484) 965-0991
M***********@*************M
(Full email address available in API data)
Industry Affiliates
| AUA CAPITAL MANAGEMENT, LLC | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| MPB WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
| NOBLE YIELD WEALTH MANAGEMENT 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 |
|---|---|---|---|---|---|
| SALERNO, MICHAEL, EUGENE | Individual | – | MANAGER | 07/2022 | < 5% |
| AUA CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 07/2022 | > 75% |
| Hook, Michael, Joseph | Individual | – | CCO | 07/2022 | < 5% |
| SALERNO, MICHAEL, EUGENE | Individual | AUA CAPITAL MANAGEMENT, LLC | MEMBER/ADMINISTRATIVE OFFICER/PRESIDENT | 07/2013 | 25-50% |
| AUA FAMILY OFFICE MANAGEMENT, LLC | Domestic Entity | AUA CAPITAL MANAGEMENT, LLC | MEMBER | 07/2013 | 50-75% |
| AUA, LLC | Domestic Entity | AUA FAMILY OFFICE MANAGEMENT, LLC | MEMBER | 10/2009 | > 75% |
| UNANUE, ANDREW, NMN | Individual | THE ANDREW UNANUE 2009 TRUST | TRUSTEE | 12/2009 | |
| THE ANDREW UNANUE 2009 TRUST | Domestic Entity | AUA, LLC | SOLE MEMBER | 12/2009 | > 75% |
| UNANUE, ANDREW, NMN | Individual | AUA, LLC | MANAGER | 11/2005 |