CRUICE FINANCIAL ORGANIZATION OR CFO CAPITAL MANAGEMENT
CRUICE INVESTMENT ADVISORS, LTD. Legal Name
Adviser information for CRUICE FINANCIAL ORGANIZATION OR CFO CAPITAL MANAGEMENT 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 | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 517 | $187.4M |
| Non-Discretionary | 0 | $0 |
| Total | 517 | $187.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 218 | $44.0M |
| HNW Individuals | 68 | $143.4M |
| 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 | 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-30887 |
|---|---|
| SEC ERA File Number | 801-30887 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110950 |
| Legal Entity Identifier | None |
Principal Office
1305 POST RDSTE. 202
FAIRFIELD
CT
United States
Monday - Friday, 9:30AM TO 4:30PM
Tel: 203-656-0033/221-0202, Fax: 203-221-0234
Chief Compliance Officer
TIMOTHY G. C. TYMNIAK
19 LUDLOW ROAD
STE. 301
WESTPORT
CT
United States
Tel:
203-221-0202
Fax:
203-221-0234
T**@*************M
(Full email address available in API data)
Regulatory Contact
JAMES SETH HOPKINS CRUICE
19 LUDLOW ROAD
STE. 301
WESTPORT
CT
United States
Tel:
203-221-0202
Fax:
203-221-0234
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 |
|---|---|---|---|---|---|
| CRUICE, JAMES, SETH HOPKINS | Individual | – | CIO | 09/1987 | < 5% |
| TYMNIAK, TIMOTHY, G | Individual | – | CCO | 03/2024 | > 75% |