ASSET PRESERVATION ADVISORS, LLC
Adviser information for ASSET PRESERVATION ADVISORS, LLC last updated from Form ADV on March 27th, 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 | Georgia, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,148 | $6.9B |
| Non-Discretionary | 1 | $170,308 |
| Total | 2,149 | $6.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 766 | $385.1M |
| HNW Individuals | 1,141 | $5.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $70.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $5.6M |
| 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 | 236 | $1.1B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.9B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MORGAN STANLEY SELECT UMA PROGRAM | MORGAN STANLEY |
| WELLS FARGO PERSONALIZED UMA | WELLS FARGO CLEARING SERVICES, LLC |
| UBS ACCESS, MAC (MANAGED ACCOUNTS CONSULTING), UBS STRATEGIC WEALTH PARTNERS | UBS FINANCIAL SERVICES INC. |
| RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. |
| PRIVATE WEALTH MANAGEMENT PROGRAM | ENVESTNET PMC |
| MERRILL LYNCH MANAGED ACCOUNT SERVICES | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| NEWEDGE WEALTH PWA | NEW EDGE WEALTH |
Identifiers
| SEC RIA File Number | 801-41636 |
|---|---|
| SEC ERA File Number | 801-41636 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106741 |
| Legal Entity Identifier | 2549000JDB69KLLX4031 |
Principal Office
3344 PEACHTREE ROAD, NESUITE 2050
ATLANTA
GA
United States
Monday - Friday, 8:30 AM-5:00 PM
Tel: 404-261-1333, Fax: 866-562-1906
Chief Compliance Officer
TARA HART
3344 PEACHTREE ROAD, NE
SUITE 2050
ATLANTA
GA
United States
Tel:
404-261-1333
T****@***********M
(Full email address available in API data)
Regulatory Contact
KEVIN WOODS
MANAGING PARTNER/CIO
3344 PEACHTREE ROAD, NE
SUITE 2050
ATLANTA
GA
United States
Tel:
404-261-1333
K******@****************************M
(Full email address available in API data)
Industry Affiliates
| FIXED INCOME ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| APA HIGH INCOME OPPORTUNITY FUND, L.P. | MUNICIPAL BOND FUND | $29.5M | $0.1M | 27 |
| GEORGIA TAX EXEMPT BOND FUND LIMITED PARTNERSHIP I | MUNICIPAL BOND FUND | $39.1M | $0.1M | 19 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WOODS, KENNETH, RAY | Individual | – | CHAIRMAN / PARTNER | 08/1989 | < 5% |
| DOTY, CHARLES, RAY | Individual | – | CO-CHIEF EXECUTIVE OFFICER / PARTNER | 09/2002 | < 5% |
| WOODS, KEVIN, BURRESS | Individual | – | CO-CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER / PARTNER | 08/2003 | < 5% |
| APA FIXED INCOME ADVISORS, LLC | Domestic Entity | – | OWNER | 09/2021 | 50-75% |
| IM SQUARE HOLDINGS 8 LLC | Domestic Entity | – | OWNER | 09/2021 | 25-50% |
| DOTY, CHARLES, RAY | Individual | APA FIXED INCOME ADVISORS, LLC | MANAGING MEMBER | 09/2021 | 25-50% |
| WOODS, KEVIN, BURRESS | Individual | APA FIXED INCOME ADVISORS, LLC | MANAGING MEMBER | 09/2021 | 25-50% |
| IM SQUARE PARTNERS HOLDING | Foreign Entity | IM SQUARE HOLDINGS 8 LLC | MANAGING MEMBER | 06/2021 | > 75% |
| HODGMAN, PATRICIA, HUSTED | Individual | – | PRESIDENT / PARTNER | 09/2021 | < 5% |
| IM SQUARE SAS | Foreign Entity | IM SQUARE PARTNERS HOLDING | OWNER | 12/2020 | > 75% |
| WILLIAMS, WESLEY, S | Individual | – | CHIEF OPERATING OFFICER | 01/2023 | < 5% |
| HART, TARA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |