REAVES ASSET MANAGEMENT
W. H. REAVES & CO., INC. Legal Name
Adviser information for REAVES ASSET MANAGEMENT last updated from Form ADV on February 5th, 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 | 22 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 1 |
| 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 | 457 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 457 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 430 | $212.9M |
| HNW Individuals | <5 | $23.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $2.7B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 8 | $11.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $49.3M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 13 | $56.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPERCENTAGE OF ASSETS MANAGED BY OTHERS USING OUR MODEL (UMA) |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 140.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| NON-SPONSORED ACCOUNT COMMAND PROGRAM | LOCKWOOD FINANCIAL |
| PROFESSIONAL ASSET MANAGEMENT PROGRAM (PRO AM) | NBC SECURITIES |
| SPONSORED SMA PROGRAM | LOCKWOOD FINANCIAL |
| RBC DOMINION SECURITIES ACCESS PROGRAM | ENVESTNET |
| MANAGER SELECT | LPL FINANCIAL |
| MANAGER ACCESS SELECT | LPL FINANCIAL |
Identifiers
| SEC RIA File Number | 801-13457 |
|---|---|
| SEC ERA File Number | 801-13457 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 3140 |
| Legal Entity Identifier | 254900WN2TEVPDIY4S09 |
Principal Office
10 EXCHANGE PLACE, 18TH FLOORJERSEY CITY
NJ
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 201-332-4596, Fax: 201-332-8593
Chief Compliance Officer
STEPHEN GAVLICK
CHIEF COMPLIANCE OFFICER
10 EXCHANGE PLACE, 18TH FLOOR
JERSEY CITY
NJ
United States
Tel:
201-793-2388
Fax:
201-332-8593
S*******@***********M
(Full email address available in API data)
Regulatory Contact
DAVID M. PASS
CHIEF OPERATING OFFICER
10 EXCHANGE PLACE, 18TH FLOOR
18TH FLOOR
JERSEY CITY
NJ
United States
Tel:
201-793-2364
Fax:
201-332-8593
D****@***********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 |
|---|---|---|---|---|---|
| PASS, DAVID, MARC | Individual | – | VICE PRESIDENT, SECRETARY, CHIEF OPERATING OFFICER, CFO | 07/2019 | 10-25% |
| BARTLETT, JOHN, PRENTISS | Individual | – | PRESIDENT | 07/2019 | < 5% |
| PORTER, TIMOTHY, OTTAVIANO | Individual | – | VICE PRESIDENT | 06/2007 | 10-25% |
| RHAME, JOSEPH, BURNS | Individual | – | CEO | 05/2010 | 10-25% |
| WEEKS, BRIAN, WALLACE | Individual | – | VICE PRESIDENT | 03/2015 | 10-25% |
| JOHN BARTLETT GST - EXEMPT TRUST | Domestic Entity | – | SHAREHOLDER | 12/2021 | 10-25% |
| GAVLICK, STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2022 | < 5% |