STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE RIA LLC Legal Name
Adviser information for STIRLINGSHIRE INVESTMENTS last updated from Form ADV on March 5th, 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| 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 | 97 | $37.0M |
| Non-Discretionary | 0 | $0 |
| Total | 97 | $37.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 97 | $37.0M |
| 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 businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-128665 |
|---|---|
| SEC ERA File Number | 801-128665 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327779 |
| Legal Entity Identifier | None |
Principal Office
15 W 38TH ST.#704
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 877-600-7026, Fax: N/A
Chief Compliance Officer
ANDREW BENNETT DORMAN
CHIEF COMPLIANCE OFFICER
15 W 38TH ST.
#704
NEW YORK
NY
United States
Tel:
877-600-7026
Fax:
N/A
I***@****************M
(Full email address available in API data)
Regulatory Contact
STEVEN MACKIE WOODS
CEO
15 W 38TH ST.
#704
NEW YORK
NY
United States
Tel:
877-600-7026
Fax:
N/A
S*****@****************M
(Full email address available in API data)
Industry Affiliates
| STIRLINGSHIRE INVESTMENTS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STIRLINGSHIRE INVESTMENTS, INC. | Domestic Entity | – | MEMBER | 06/2023 | > 75% |
| WOODS, STEVEN, MACKIE | Individual | STIRLINGSHIRE INVESTMENTS, INC. | MANAGING MEMBER, CEO | 06/2023 | > 75% |
| DORMAN, ANDREW, BENNETT | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| WOODS, STEVEN, MACKIE | Individual | – | CEO | 06/2023 | < 5% |