DEERFIELD
DEERFIELD FINANCIAL ADVISORS, INC. Legal Name
Adviser information for DEERFIELD last updated from Form ADV on March 6th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 892 | $699.3M |
| Non-Discretionary | 32 | $132.2M |
| Total | 924 | $831.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 125 | $65.9M |
| HNW Individuals | 153 | $729.4M |
| 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 | 8 | $8.9M |
| Charitable organizations | 7 | $22.5M |
| 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 | $4.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 24 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-25156 |
|---|---|
| SEC ERA File Number | 801-25156 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104964 |
| Legal Entity Identifier | None |
Principal Office
8440 WOODFIELD CROSSINGSUITE 360
INDIANAPOLIS
IN
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 317-469-2455, Fax: 317-469-2460
Chief Compliance Officer
MARSHA KALASMIKI
BUSINESS MANAGER
8440 WOODFIELD CROSSING
SUITE 360
INDIANAPOLIS
IN
United States
Tel:
317-469-2455
Fax:
317-469-2460
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 |
|---|---|---|---|---|---|
| STEEL, SUSAN, MARIE | Individual | – | SENIOR SHAREHOLDER, PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | 10/1993 | 25-50% |
| COUGILL, BRADLEY, RAYMOND | Individual | – | SENIOR SHAREHOLDER, VICE PRESIDENT, AND CHIEF INVESTMENT OFFICER | 01/2000 | 25-50% |
| KALASMIKI, MARSHA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2019 | < 5% |
| ROOP, MATTHEW, LEWIS | Individual | – | SHAREHOLDER | 10/2021 | 10-25% |
| MILLER, MARCUS, FRANKLIN | Individual | – | SHAREHOLDER | 10/2021 | 10-25% |