RETIREWELL PLANS
RETIREWELL PLANS, LLC Legal Name
Adviser information for RETIREWELL PLANS 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 | New York, 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 | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9 | $9.9M |
| Non-Discretionary | 198 | $24.4M |
| Total | 207 | $34.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 204 | $22.8M |
| HNW Individuals | <5 | $11.5M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128352 |
|---|---|
| SEC ERA File Number | 801-128352 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327320 |
| Legal Entity Identifier | None |
Principal Office
68 SOUTH SERVICE ROAD NYMELVILLE
NY
United States
Monday - Friday, 9:00 AM TO 6:00 PM
Tel: 631-559-3404, Fax: N/A
Chief Compliance Officer
JAMES DUFFY
CEO & CCO
68 SOUTH SERVICE ROAD NY
MELVILLE
NY
United States
Tel:
631-559-3404
Fax:
N/A
A****@******************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 |
|---|---|---|---|---|---|
| DUFFY, JAMES, RAYMOND | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 06/2023 | > 75% |