PROVIDENCE FINANCIAL ADVISORS, LLC
Adviser information for PROVIDENCE FINANCIAL ADVISORS, LLC last updated from Form ADV on February 20th, 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 | Kansas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| 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 | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 331 | $279.4M |
| Non-Discretionary | 29 | $132.8M |
| Total | 360 | $412.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 99 | $29.2M |
| HNW Individuals | 24 | $54.8M |
| 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 | 6 | $319.6M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $8.6M |
| 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 | 2 |
| 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 clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPROJECT BASIS |
Identifiers
| SEC RIA File Number | 801-127183 |
|---|---|
| SEC ERA File Number | 801-127183 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124839 |
| Legal Entity Identifier | None |
Principal Office
6900 COLLEGE BLVD.,SUITE 440
OVERLAND PARK
KS
United States
Monday - Friday, 8:30AM-5:00PM
Tel: 913-323-0535, Fax: 866-711-3213
Chief Compliance Officer
STEVEN T. COX
PRESIDENT
6900 COLLEGE BLVD.,
SUITE 440
OVERLAND PARK
KS
United States
Tel:
913-323-0535
Fax:
913-323-0536
S***@**********M
(Full email address available in API data)
Regulatory Contact
MARK J. DONALDSON
MANAGING PARTNER
6900 COLLEGE BLVD.,
SUITE 440
OVERLAND PARK
KS
United States
Tel:
913-440-0516
M*********@**********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 |
|---|---|---|---|---|---|
| COX, STEVEN, THOMAS | Individual | – | PRESIDENT/CCO | 01/2003 | > 75% |
| DONALDSON, MARK, JOSEPH | Individual | – | MANAGING DIRECTOR | 09/2008 | < 5% |