ATTESSA CAPITAL LLC
Adviser information for ATTESSA CAPITAL LLC last updated from Form ADV on February 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 276 | $107.8M |
| Non-Discretionary | 7 | $492,457 |
| Total | 283 | $108.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27 | $7.8M |
| HNW Individuals | 60 | $96.0M |
| 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 | 8 | $4.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFREE |
Identifiers
| SEC RIA File Number | 801-129457 |
|---|---|
| SEC ERA File Number | 801-129457 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306827 |
| Legal Entity Identifier | None |
Principal Office
3060 N SWAN RDTUCSON
AZ
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: 520-600-3064, Fax: 480-508-7685
Websites
Chief Compliance Officer
DAVID WILLIAM KORNBERG
PARTNER & CHIEF COMPLIANCE OFFICER
3060 N SWAN RD
TUCSON
AZ
United States
Tel:
(520) 429-9754
Fax:
480-508-7685
D********@*****************M
(Full email address available in API data)
Regulatory Contact
ALEC SCOTT BERENS
PARTNER
3060 N SWAN RD
TUCSON
AZ
United States
Tel:
520-600-3064
Fax:
480-508-7685
A******@*****************M
(Full email address available in API data)
Industry Affiliates
| DAVID WILLIAM KORNBERG CPA | Accountant or accounting firm |
| HARRISON WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERENS, ALEC, SCOTT | Individual | – | MANAGING PARTNER | 11/2019 | 25-50% |
| GOOD, JAMES, ANDREW | Individual | – | MANAGING PARTNER & CHIEF INVESTMENT OFFICER | 11/2019 | 25-50% |
| KORNBERG, DAVID, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |
| DWK CAPITAL LLC | Domestic Entity | – | PARTNER | 01/2024 | 25-50% |
| ASB CAPITAL LLC | Domestic Entity | – | PARTNER | 01/2024 | 25-50% |
| MWH INVESTMENTS, LLC | Domestic Entity | – | PARTNER | 01/2024 | 25-50% |
| HARRISON, MATTHEW, WILLIAM | Individual | MWH INVESTMENTS, LLC | OWNER | 01/2024 | > 75% |
| KORNBERG, DAVID, WILLIAM | Individual | DWK CAPITAL LLC | OWNER | 01/2024 | > 75% |
| BERENS, ALEC, SCOTT | Individual | ASB CAPITAL LLC | OWNER | 01/2024 | > 75% |