MINDFUL WEALTH LLC
Adviser information for MINDFUL WEALTH LLC last updated from Form ADV on March 28th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 185 | $121.8M |
| Non-Discretionary | 2 | $11.1M |
| Total | 187 | $132.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 42 | $132.9M |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-127605 |
|---|---|
| SEC ERA File Number | 801-127605 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297493 |
| Legal Entity Identifier | None |
Principal Office
5 REVERE DRIVESUITE 200
NORTHBROOK
IL
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 312-953-9900, Fax: None
Chief Compliance Officer
DAVID M. DICKMAN
FOUNDER, MANAGING PARTNER
5 REVERE DRIVE
SUITE 200
NORTHBROOK
IL
United States
Tel:
312-953-9900
S****@******T
(Full email address available in API data)
Regulatory Contact
SUSAN MITCHELL
COMPLIANCE CONSULTANT
11464 ENCLAVE BOULEVARD
FISHERS
IN
United States
Tel:
3174090453
S****@******T
(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 |
|---|---|---|---|---|---|
| DICKMAN, DAVID, MICHAEL | Individual | – | FOUNDER, MANAGING PARTNER, CCO | 06/2018 | > 75% |