GARLIKOV ADVISORS INC
Adviser information for GARLIKOV ADVISORS INC last updated from Form ADV on March 20th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 202 | $189.0M |
| Non-Discretionary | 0 | $0 |
| Total | 202 | $189.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 139 | $34.0M |
| HNW Individuals | 41 | $119.3M |
| 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 | 12 | $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 | 10 | $31.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-19290 |
|---|---|
| SEC ERA File Number | 801-19290 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112352 |
| Legal Entity Identifier | None |
Principal Office
41 S HIGH ST STE 3400COLUMBUS
OH
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: 614-221-0900, Fax: 614-221-1508
Websites
Chief Compliance Officer
CARRIE L. FLEISHER
41 SOUTH HIGH STREET SUITE 3400
COLUMBUS
OH
United States
Tel:
614-221-0900
Fax:
614-221-1508
C**@********************M
(Full email address available in API data)
Regulatory Contact
THOMAS W KAISER
EXECUTIVE REPRESENTATIVE
41 S HIGH STREET, SUITE 3400
COLUMBUS
OH
United States
Tel:
614-221-0900
Fax:
614-221-1508
T**@********************M
(Full email address available in API data)
Industry Affiliates
| GARLIKOV & ASSOCIATES, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GARLIKOV, DONALD, EDWARD | Individual | – | PRESIDENT | 05/1983 | > 75% |
| Fleisher, Carrie, Lee | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |