WESTMINSTER FINANCIAL ADVISORY CORP
Adviser information for WESTMINSTER FINANCIAL ADVISORY CORP last updated from Form ADV on March 28th, 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 | 40 |
|---|---|
| Investment Advisory/Research | 40 |
| Registered Broker-Dealer Representatives | 38 |
| Registered State Investment Advisers | 40 |
| Licensed Agents of an Insurance Company | 20 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,260 | $920.3M |
| Non-Discretionary | 0 | $0 |
| Total | 2,260 | $920.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 812 | $226.6M |
| HNW Individuals | 220 | $570.6M |
| 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 | 85 | $27.6M |
| 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 | 39 | $95.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissionsMONTHLY ENHANCED STATEMENT FEE |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-29690 |
|---|---|
| SEC ERA File Number | 801-29690 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110283 |
| Legal Entity Identifier | None |
Principal Office
50 CHESTNUT STREETSUITE A-400
BEAVERCREEK
OH
United States
Monday - Friday, 8AM - 5PM
Tel: 937-898-5010, Fax: 937-898-0119
Websites
Chief Compliance Officer
JESSICA TRUNCK
CHIEF COMPLIANCE OFFICER
40 NORTH MAIN STREET
SUITE 2400
DAYTON
OH
United States
Tel:
937-665-0117
Fax:
937-898-0119
J******@***********************M
(Full email address available in API data)
Regulatory Contact
KIRK STAGER
PRESIDENT
50 CHESTNUT STREET
SUITE A-200
BEAVERCREEK
OH
United States
Tel:
937 898 5010
Fax:
937 898 0119
K******@***********************M
(Full email address available in API data)
Industry Affiliates
| WESTMINSTER FINANCIAL AGENCIES, INC. | Insurance company or agency |
| WESTMINSTER FINANCIAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WESTMINSTER FINANCIAL COMPANIES, INC. | Domestic Entity | – | HOLDING COMPANY | 01/1998 | > 75% |
| BRAZIE, LAWRENCE, MILES | Individual | WESTMINSTER FINANCIAL COMPANIES, INC. | SHAREHOLDER/CEO | 01/1998 | > 75% |
| BRAZIE, LAWRENCE, MILES | Individual | – | CEO | 11/2001 | < 5% |
| TRUNCK, JESSICA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2014 | < 5% |