ASEMPA WEALTH ADVISORS
ASEMPA, LLC Legal Name
Adviser information for ASEMPA WEALTH ADVISORS last updated from Form ADV on January 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 | Louisiana, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 197 | $134.5M |
| Non-Discretionary | 0 | $0 |
| Total | 197 | $134.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 45 | $119.2M |
| 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 | <5 | $15.3M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129040 |
|---|---|
| SEC ERA File Number | 801-129040 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328609 |
| Legal Entity Identifier | None |
Principal Office
8440 JEFFERSON HWYSUITE 401
BATON ROUGE
LA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (225) 529-9329, Fax: N/A
Websites
Chief Compliance Officer
ZAHEER POPTANI
CHIEF COMPLIANCE OFFICER
8440 JEFFERSON HWY
BATON ROUGE
LA
United States
Tel:
202-330-2931
Fax:
N/A
Z*****@***************M
(Full email address available in API data)
Regulatory Contact
MAWUENA KWAME TAKYI
MANAGING PARTNER
8440 JEFFERSON HWY
BATON ROUGE
LA
United States
Tel:
202-330-2931
Fax:
N/A
M*********@***************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 |
|---|---|---|---|---|---|
| TAKYI, MAWUENA, KWAME | Individual | – | MANAGING PARTNER | 09/2023 | > 75% |
| POPTANI, ZAHEER | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |