SAFE HARBOR WEALTH ADVISORS, LLC
Adviser information for SAFE HARBOR WEALTH ADVISORS, LLC last updated from Form ADV on March 8th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 851 | $100.9M |
| Non-Discretionary | 11 | $668,000 |
| Total | 862 | $101.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 358 | $78.0M |
| HNW Individuals | 14 | $23.6M |
| 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 | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesREFERRAL FEES |
Identifiers
| SEC RIA File Number | 801-129860 |
|---|---|
| SEC ERA File Number | 801-129860 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284613 |
| Legal Entity Identifier | None |
Principal Office
6099 FRANTZ ROADDUBLIN
OH
United States
Monday - Friday, 9-5
Tel: 614-760-0670, Fax: 614-760-0675
Chief Compliance Officer
HOLLY VEECK
VICE PRESIDENT OF OPERATIONS
6099 FRANTZ ROAD
DUBLIN
OH
United States
Tel:
6147600670
Fax:
6147600675
H****@***************M
(Full email address available in API data)
Regulatory Contact
CORY SICKLES
MANAGING MEMBER
6099 FRANTZ ROAD
DUBLIN
OH
United States
Tel:
614-760-0670
Fax:
614-760-0675
C***@***************M
(Full email address available in API data)
Industry Affiliates
| SAFE HARBOR FINANCIAL GROUP, LLC | Insurance company or agency |
| SAFE HARBOR HEALTH, LLC | Insurance company or agency |
| SAFE HARBOR RETIREMENT GROUP, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SICKLES, CORY, JOSEPH | Individual | – | MANAGING MEMBER | 07/2016 | > 75% |
| VEECK, HOLLY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2017 | < 5% |