OMC FINANCIAL SERVICES LTD
Adviser information for OMC FINANCIAL SERVICES LTD last updated from Form ADV on March 4th, 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 | New York, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| 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 | 540 | $225.7M |
| Non-Discretionary | 2 | $3,076 |
| Total | 542 | $225.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 177 | $61.1M |
| HNW Individuals | 78 | $164.6M |
| 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 | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-29406 |
|---|---|
| SEC ERA File Number | 801-29406 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110528 |
| Legal Entity Identifier | None |
Principal Office
5789 WIDEWATERS PARKWAYDEWITT
NY
United States
Monday - Friday, 8:30 A.M.-4:30 P.M.
Tel: 315-446-8720, Fax: 315-446-5936
Chief Compliance Officer
JIM CULLEN
475 TAUNTON AVENUE
EAST PROVIDENCE
RI
United States
Tel:
401-466-6010
Fax:
401-466-6012
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 |
|---|---|---|---|---|---|
| CULLEN, JAMES, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| SCOTT, CYNTHIA, ANN | Individual | – | PRESIDENT | 06/1985 | > 75% |