ROBERT L. BENDER, INC. DBA ROBERT BENDER & ASSOCIATES
Adviser information for ROBERT L. BENDER, INC. DBA ROBERT BENDER & ASSOCIATES last updated from Form ADV on March 26th, 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 351 | $409.7M |
| Non-Discretionary | 0 | $0 |
| Total | 351 | $409.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 347 | $403.9M |
| HNW Individuals | 0 | $0 |
| 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 | $1.3M |
| Charitable organizations | <5 | $4.6M |
| 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 | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 18.1M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WRAP PROGRAM | D.A. DAVIDSON & CO. |
| MASTERS PROGRAM | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| MAC CS | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| MANAGED ACCOUNT / MAP | RBC CAPITAL MARKETS, LLC |
| MAC WRAP | UBS FINANCIAL SERVICES INC. |
| TOTAL MERRILL | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
Identifiers
| SEC RIA File Number | 801-14216 |
|---|---|
| SEC ERA File Number | 801-14216 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109766 |
| Legal Entity Identifier | None |
Principal Office
199 S. LOS ROBLES AVENUESUITE 530
PASADENA
CA
United States
Monday - Friday, 8:00 A.M. TO 4:00 P.M.
Tel: 626-397-9072, Fax: 626-397-9090
Websites
Chief Compliance Officer
CATHERINE EMMETT
CHIEF COMPLIANCE OFFICER
199 S. LOS ROBLES AVE.
SUITE 530
PASADENA
CA
United States
Tel:
626-397-9072
Fax:
626-397-9090
C****@***************M
(Full email address available in API data)
Regulatory Contact
REED G. BENDER
PRESIDENT
199 S. LOS ROBLES AVENUE
SUITE 530
PASADENA
CA
United States
Tel:
626-397-9072
Fax:
626-397-9090
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 |
|---|---|---|---|---|---|
| BENDER, ROBERT, LLOYD | Individual | – | CHIEF EXECUTIVE OFFICER | 06/1978 | > 75% |
| EMMETT, CATHERINE, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | < 5% |
| BENDER, REED, GAVIN | Individual | – | PRESIDENT, SECRETARY | 11/2014 | < 5% |