GW FINANCIAL
GW FINANCIAL, INC. Legal Name
Adviser information for GW FINANCIAL last updated from Form ADV on February 7th, 2023. 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 | Nevada, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 223 | $77.8M |
| Non-Discretionary | 39 | $15.7M |
| Total | 262 | $93.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 46 | $12.0M |
| HNW Individuals | 47 | $77.7M |
| 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 | $1.3M |
| 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 | <5 | $3,000 |
| Other | 5 | $2.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)FINANCIAL CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-18321 |
|---|---|
| SEC ERA File Number | 801-18321 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110478 |
| Legal Entity Identifier | None |
Principal Office
5470 KIETZKE LANESUITE 300
RENO
NV
United States
Monday - Friday, M-TH 9AM-4PM; F 9AM-2PM
Tel: 714-850-0534, Fax: None
Chief Compliance Officer
JULIE BRAY
PRESIDENT
5470 KIETZKE LANE
SUITE 300
RENO
NV
United States
Tel:
714-850-0534
J****@*************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 |
|---|---|---|---|---|---|
| BRAY, JULIANNA, ANDERSON | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2014 | 50-75% |
| ANDERSON, SCOTT, KIGHT | Individual | – | VICE PRESIDENT | 07/2014 | 50-75% |