FIRST FINANCIAL ADVISORY SERVICES INC
Adviser information for FIRST FINANCIAL ADVISORY SERVICES 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 | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1,166 | $225.0M |
| Total | 1,166 | $225.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 491 | $113.4M |
| HNW Individuals | 64 | $110.3M |
| 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 | 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 38 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-20623 |
|---|---|
| SEC ERA File Number | 801-20623 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105031 |
| Legal Entity Identifier | None |
Principal Office
85 BEACH STREETWESTERLY
RI
United States
Monday - Friday, 8:30AM TO 5:00 PM
Tel: 401-596-0193, Fax: 401-596-0195
Chief Compliance Officer
MATTHEW J. CUNNINGHAM
SECRETARY
85 BEACH STREET
WESTERLY
RI
United States
Tel:
401-596-0193
Fax:
401-596-0195
M**********@************M
(Full email address available in API data)
Regulatory Contact
GERALDINE B. CUNNINGHAM
PRESIDENT, TREASURER
85 BEACH STREET
WESTERLY
RI
United States
Tel:
401-596-0193
Fax:
401-596-0195
G**********@************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 |
|---|---|---|---|---|---|
| CUNNINGHAM, MATTHEW, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER, SECRETARY | 01/2012 | < 5% |
| CUNNINGHAM, GERALDINE, BUTERA | Individual | – | PRESIDENT, TREASURER | 01/2012 | > 75% |
| ROBINSON, PETER, BRIAN | Individual | – | VICE-PRESIDENT | 03/2013 | < 5% |