WATERCOLOR FINANCIAL
CBM FINANCIAL, LLC Legal Name
Adviser information for WATERCOLOR FINANCIAL last updated from Form ADV on March 4th, 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 | 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 473 | $152.8M |
| Non-Discretionary | 0 | $0 |
| Total | 473 | $152.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 55 | $27.9M |
| HNW Individuals | 70 | $124.9M |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128561 |
|---|---|
| SEC ERA File Number | 801-128561 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327254 |
| Legal Entity Identifier | None |
Principal Office
9600 GREAT HILLS TRAILSUITE 150W
AUSTIN
TX
United States
Monday - Friday, 9AM TO 5PM
Tel: 512-250-1544, Fax: None
Websites
Chief Compliance Officer
HAL BLECKLEY DOBBS, JR
9600 GREAT HILLS TRAIL
AUSTIN
TX
United States
Tel:
512-250-1544
B*******@**********************M
(Full email address available in API data)
Regulatory Contact
DOUGLASS MCCRAE
COMPLIANCE CONSULTANT
82ND AVE SE #300
2835
MERCER ISLAND
WA
United States
Tel:
2068383694
D**************@*****************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 |
|---|---|---|---|---|---|
| POORE, MEGAN, KELLY | Individual | – | MEMBER OF LLC | 11/2020 | 25-50% |
| DOBBS, HAL, BLECKLEY | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | 25-50% |
| GRANGE, CATHRYN | Individual | – | MEMBER OF LLC | 11/2020 | 25-50% |