LAW & ASSOCIATES INC
Adviser information for LAW & ASSOCIATES INC last updated from Form ADV on March 29th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1,018 | $214.2M |
| Total | 1,018 | $214.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 140 | $50.3M |
| HNW Individuals | 119 | $161.9M |
| 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 | <5 | $2.0M |
| 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 | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshopsDIVORCE PLANNING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPROJECT |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-16929 |
|---|---|
| SEC ERA File Number | 801-16929 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105350 |
| Legal Entity Identifier | None |
Principal Office
6111 TULANE AVEGLEN ECHO
MD
United States
MONDAY-THURSDAY, 8:00 A.M. TO 6:00 P.M.
Tel: [301]229-8500, Fax: [301]229-8504
Chief Compliance Officer
JANICE L. HENDERSON
CEO
6111 TULANE AVENUE
GLEN ECHO
MD
United States
Tel:
(301) 229-8500
Fax:
(301) 229-8504
J*****@*******************M
(Full email address available in API data)
Regulatory Contact
MICHAEL SHAW
PARTNER
225 E REDWOOD STREET SUITE 400 L
BALTIMORE
MD
United States
Tel:
4103234293
Fax:
4107836430
M******@******************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 |
|---|---|---|---|---|---|
| HENDERSON, JANICE, LYNNE | Individual | – | CEO/CHIEF COMPLIANCE OFFICER/TREASURER | 01/2016 | > 75% |