ECIO, INC.
Adviser information for ECIO, INC. last updated from Form ADV on March 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 154 | $146.0M |
| Non-Discretionary | 0 | $0 |
| Total | 154 | $146.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $6.4M |
| HNW Individuals | <5 | $988,480 |
| 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 | 71 | $138.4M |
| 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 | <5 | $233,385 |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-129326 |
|---|---|
| SEC ERA File Number | 801-129326 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301432 |
| Legal Entity Identifier | None |
Principal Office
821 E WASHINGTON AVENUESUITE 200
MADISON
WI
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: 608-535-8317, Fax: N/A
Chief Compliance Officer
PHILLIP RONALD WAARA
CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER
821 E WASHINGTON AVENUE
SUITE 200
MADISON
WI
United States
Tel:
608-535-8317
Fax:
N/A
P***@**********M
(Full email address available in API data)
Regulatory Contact
ROBIN C ROQUITTE
MEMBER
821 E WASHINGTON AVENUE
SUITE 200
MADISON
WI
United States
Tel:
608-535-8317
Fax:
N/A
R**@**********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 |
|---|---|---|---|---|---|
| WAARA, PHILLIP, RONALD | Individual | – | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | 01/2019 | 5-10% |
| ROQUITTE, ROBIN, CHORONE | Individual | – | MEMBER/CHIEF EXECUTIVE OFFICER | 01/2019 | 25-50% |
| Huang, Clark, M | Individual | – | MEMBER & CHIEF TECHNOLOGY OFFICER | 11/2019 | 10-25% |
| Ivey, Timothy, David | Individual | – | VICE PRESIDENT | 11/2019 | 5-10% |
| DEAN, COURTNEY, LIEBIG | Individual | – | CHIEF REVENUE OFFICER | 01/2021 | < 5% |