FAMILY DYNASTY ADVISORS LLC
Adviser information for FAMILY DYNASTY ADVISORS LLC last updated from Form ADV on February 6th, 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 | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 6 | $1.3M |
| Non-Discretionary | 81 | $41.2M |
| Total | 87 | $42.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 23 | $5.7M |
| HNW Individuals | 10 | $35.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $804,762 |
| 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 businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-127497 |
|---|---|
| SEC ERA File Number | 801-127497 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297082 |
| Legal Entity Identifier | None |
Principal Office
4601 S. LOOP 289 SUITE 7LUBBOCK
TX
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 806-993-7023, Fax: None
Chief Compliance Officer
MANDI APPLEGATE
DIRECTOR OF OPERATIONS
4601 S LOOP 289 SUITE 7
LUBBOCK
TX
United States
Tel:
806-993-7023
M****@************************M
(Full email address available in API data)
Regulatory Contact
MIKE CAFFEY
PRINCIPLE
4601 S. LOOP 289 SUITE 7
LUBBOCK
TX
United States
Tel:
806-993-7025
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 |
|---|---|---|---|---|---|
| CAFFEY, MICHAEL, DAVID | Individual | – | MANAGING MEMBER | 03/2018 | > 75% |
| Applegate, Mandi, Lynn | Individual | – | DIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |