JIM SAULNIER & ASSOCIATES, LLC
Adviser information for JIM SAULNIER & ASSOCIATES, LLC last updated from Form ADV on March 7th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 443 | $116.4M |
| Non-Discretionary | 0 | $0 |
| Total | 443 | $116.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 111 | $32.3M |
| HNW Individuals | 43 | $84.1M |
| 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 | <5 | $104,501 |
| 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 | 48 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-128717 |
|---|---|
| SEC ERA File Number | 801-128717 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169889 |
| Legal Entity Identifier | None |
Principal Office
506 EAST MULBERRY STFORT COLLINS
CO
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 970-530-0556, Fax: 970-984-4323
Chief Compliance Officer
JAMES SAULNIER
MANAGING MEMBER
506 EAST MULBERRY ST.
FORT COLLINS
CO
United States
Tel:
970-530-0556
Fax:
970-984-4323
J**@***********M
(Full email address available in API data)
Industry Affiliates
| JIM SAULNIER TAX PLANNING, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAULNIER, JAMES, HENRY | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 11/2013 | > 75% |