FINANCIAL DECISIONS, LLC
Adviser information for FINANCIAL DECISIONS, LLC last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 511 | $302.5M |
| Non-Discretionary | 3 | $43,041 |
| Total | 514 | $302.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $30.3M |
| HNW Individuals | 117 | $264.0M |
| 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 | $2.3M |
| Charitable organizations | 6 | $884,294 |
| 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 | $5.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
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)ADVICE ON MATTERS NOT INVOLVING SECURITIES. |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-39858 |
|---|---|
| SEC ERA File Number | 801-39858 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107755 |
| Legal Entity Identifier | None |
Principal Office
780 THIRD AVENUE19TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 212-920-3470, Fax: 212-920-3488
Chief Compliance Officer
KENNETH GUTWILLIG
CHIEF INVESTMENT OFFICER
780 THIRD AVENUE, 19TH FLOOR
NEW YORK
NY
United States
Tel:
212-920-3470
Fax:
212-920-3488
K**@*********T
(Full email address available in API data)
Regulatory Contact
LINDA SCHOENTHALER
FOUNDER
780 THIRD AVENUE, 19TH FLOOR
NEW YORK
NY
United States
Tel:
212-920-3470
Fax:
212-920-3488
L****@*********T
(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 |
|---|---|---|---|---|---|
| GUTWILLIG, KENNETH | Individual | – | CHIEF COMPLIANCE OFFICER/PARTNER/CHIEF INVESTMENT OFFICER | 03/2016 | 50-75% |
| DUPONT, FLORENCE, MYRIAM | Individual | – | PARTNER/CHIEF FINANCIAL PLANNER | 12/2019 | 50-75% |