OPENAIR FINANCIAL, LLC
Adviser information for OPENAIR FINANCIAL, LLC last updated from Form ADV on February 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 | Texas, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 793 | $175.0M |
| Non-Discretionary | 0 | $0 |
| Total | 793 | $175.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 280 | $125.0M |
| HNW Individuals | 98 | $50.0M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-127377 |
|---|---|
| SEC ERA File Number | 801-127377 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300362 |
| Legal Entity Identifier | None |
Principal Office
280 MIRON DRIVESOUTHLAKE
TX
United States
Monday - Friday, BY APPOINTMENT
Tel: 214-233-6059, Fax: None
Websites
Chief Compliance Officer
STEWART FIELDS
MANAGING MEMBER/CHIEF COMPLIANCE OFFICER
280 MIRON DRIVE
SOUTHLAKE
TX
United States
Tel:
214-233-6059
S******@******************M
(Full email address available in API data)
Industry Affiliates
| OPENAIR ADVISORY, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIELDS, STEWART, EMBRY | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 01/2019 | 25-50% |
| LAWTON, JONATHAN, KENT | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 05/2019 | 25-50% |
| MASSENBURG, CHRIS, R | Individual | – | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | 05/2019 | 25-50% |