JOHN A. WOLFE & ASSOCIATES, INC.
Adviser information for JOHN A. WOLFE & ASSOCIATES, INC. last updated from Form ADV on January 30th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 1,234 | $498.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1,234 | $498.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 335 | $152.5M |
| HNW Individuals | 158 | $340.5M |
| 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 | 4 | $5.4M |
| 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 AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-36076 |
|---|---|
| SEC ERA File Number | 801-36076 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110799 |
| Legal Entity Identifier | None |
Principal Office
440 WEST CENTRE AVENUESUITE 4
PORTAGE
MI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 269-324-1988, Fax: 269-324-1970
Chief Compliance Officer
JOHN A. WOLFE
PRESIDENT AND CHIEF COMPLIANCE OFFICER
440 WEST CENTRE AVENUE
SUITE 4
PORTAGE
MI
United States
Tel:
269-324-1988
Fax:
(269) 324-1970
J***@**********M
(Full email address available in API data)
Regulatory Contact
BETH DICKINSON
COMPLIANCE PROFESSIONAL
1485 KINGSWOOD TERRACE
HARBOR SPRINGS
MI
United States
Tel:
(231) 242-4757
R*******@************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 |
|---|---|---|---|---|---|
| WOLFE, JOHN, ANTHONY | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 02/2007 | > 75% |