Hedge Fund Database

CADARET GRANT & CO INC

CADARET, GRANT & CO., INC. Legal Name

Adviser information for CADARET GRANT & CO INC 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 761
Investment Advisory/Research 489
Registered Broker-Dealer Representatives 571
Registered State Investment Advisers 489
Licensed Agents of an Insurance Company 418
No. of Firms/People that Solicit Clients 9

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 25,014 $6.8B
Non-Discretionary 391 $102.6M
Total 25,405 $6.9B

Clients

Type Number RAUM
Individuals 16,910 $4.2B
HNW Individuals 1,166 $2.5B
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 131 $82.3M
Charitable organizations 65 $29.7M
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 81 $102.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 5685
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

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)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 2.5B
Portfolio Manager to Program Sponsor
CONTOUR WRAP FEE PROGRAM CADARET GRANT & CO INC

Identifiers

SEC RIA File Number 801-42709
SEC ERA File Number 801-42709
SEC CIK Numbers 1926313
SEC CRD Numbers 10641
Legal Entity Identifier None

Principal Office

100 MADISON STREET
SUITE 1300
SYRACUSE
NY
United States
Monday - Friday, 9:00 AM - 5:30 PM
Tel: 800-288-8601, Fax: 315-234-0404

Websites

www.linkedin.com/company/cadaret-grant/ www.facebook.com/cadaretgrant www.cadaretgrant.com

Chief Compliance Officer

LAURA WHITE
ADVISORY CHIEF COMPLIANCE OFFICER
100 MADISON STREET
SUITE 1300
SYRACUSE
NY
United States
Tel: 315-609-7891
Fax: 315-234-0404
(Full email address available in API data)

Regulatory Contact

DANIEL BURKOTT
EXECUTIVE DIRECTOR / CHIEF COMPLIANCE OFFICER
100 MADISON STREET
SUITE 1300
SYRACUSE
NY
United States
Tel: 315-610-6417
Fax: 315-234-0404
(Full email address available in API data)

Industry Affiliates

CFS INSURANCE AND TECHNOLOGY SERVICES, LLC Insurance company or agency
CUSO FINANCIAL SERVICES Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
GROVE POINT ADVISORS, LLC Other investment adviser, including financial planners
GROVE POINT INVESTMENTS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
NEXT FINANCIAL GROUP, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
NEXT FINANCIAL INSURANCE SERVICES COMPANY Insurance company or agency
SCF INVESTMENT ADVISORS, INC. Other investment adviser, including financial planners
SCF SECURITIES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
SORRENTO PACIFIC FINANCIAL, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
WESTERN INTERNATIONAL SECURITIES Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ATRIA WEALTH SOLUTIONS, INC. Domestic Entity AWS 4, INC. SHAREHOLDER 04/2018 > 75%
AWS 4, INC. Domestic Entity – SHAREHOLDER 10/2018 > 75%
ATRIA WEALTH SOLUTIONS HOLDINGS LLC Domestic Entity ATRIA WEALTH SOLUTIONS, INC. SHAREHOLDER 04/2018 > 75%
LEP ATRIA HOLDINGS, LLC Domestic Entity ATRIA WEALTH SOLUTIONS HOLDINGS LLC. MEMBER, SERIES A UNITS 08/2017 50-75%
LEE EQUITY PARTNERS FUND II, L.P. Domestic Entity LEP ATRIA HOLDINGS, LLC. MEMBER 07/2017 25-50%
KETTERER, DOUGLAS JOHN Individual – CHAIRMAN OF THE BOARD 10/2018 < 5%
ELIAS JR, EUGENE HENRI Individual – DIRECTOR 10/2018 < 5%
LEE EQUITY PARTNERS II GP, LLC Domestic Entity LEE EQUITY PARTNERS FUND II, L.P. GENERAL PARTNER 09/2015
DOVER STREET VIII LP Domestic Entity LEE EQUITY PARTNERS FUND II, LP LIMITED PARTNER 03/2016 25-50%
LEE EQUITY PARTNERS FUND II(A), LP Domestic Entity LEP ATRIA HOLDINGS, LLC MEMBER 07/2017 50-75%
LEE EQUITY PARTNERS II GP, LLC Domestic Entity LEE EQUITY PARTNERS FUND II (A), LP GENERAL PARTNER 09/2015
ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C V Foreign Entity LEE EQUITY PARTNERS FUND II(A), LP LIMITED PARTNER 03/2016 25-50%
TYMKIW, TRISHA LYNN Individual – PRINCIPAL FINANCIAL OFFICER 05/2022 < 5%
MORRISSEY, WILLIAM PAUL Individual – PRESIDENT 01/2023 < 5%
BURKOTT, DANIEL PAUL Individual – CHIEF COMPLIANCE OFFICER 06/2023 < 5%
HERREL, CHRISTOPHER FREDRIC Individual – HEAD OF SUPERVISION 08/2023 < 5%
WHITE, LAURA NICOLE Individual – ADVISORY CHIEF COMPLIANCE OFFICER 11/2023 < 5%

No. Employees, Historic

1,000500020192020202120222023202420251000 on 8/16/20191000 on 11/1/20191000 on 1/17/20201000 on 5/14/20201000 on 6/19/20201000 on 6/30/20201000 on 7/1/20201000 on 7/23/20201000 on 8/3/20201000 on 8/14/20201000 on 3/31/20211000 on 5/21/20211000 on 8/13/20211000 on 1/27/2022621 on 3/31/2022621 on 4/1/2022621 on 5/23/2022621 on 8/1/2022621 on 9/22/2022621 on 12/16/2022621 on 1/17/2023621 on 2/22/2023621 on 3/1/2023726 on 3/31/2023726 on 7/20/2023726 on 8/23/2023726 on 9/29/2023726 on 11/17/2023761 on 3/28/2024

RAUM, Historic

7B4B020192020202120222023202420253848503292 on 8/16/20193848503292 on 11/1/20193848503292 on 1/17/20204595749694 on 5/14/20204595749694 on 6/19/20204595749694 on 6/30/20204595749694 on 7/1/20204595749694 on 7/23/20204595749694 on 8/3/20204595749694 on 8/14/20206001285717 on 3/31/20216001285717 on 5/21/20216001285717 on 8/13/20216001285717 on 1/27/20226312176705 on 3/31/20226312176705 on 4/1/20226312176705 on 5/23/20226312176705 on 8/1/20226312176705 on 9/22/20226312176705 on 12/16/20226312176705 on 1/17/20236312176705 on 2/22/20236312176705 on 3/1/20235842605463 on 3/31/20235842605463 on 7/20/20235842605463 on 8/23/20235842605463 on 9/29/20235842605463 on 11/17/20236873332863 on 3/28/2024

No. Clients, Historic

20,00010,0000201920202021202220232024202514184 on 8/16/201914184 on 11/1/201914184 on 1/17/202014966 on 5/14/202014966 on 6/19/202014966 on 6/30/202014966 on 7/1/202014966 on 7/23/202014966 on 8/3/202014966 on 8/14/202017883 on 3/31/202117883 on 5/21/202117883 on 8/13/202117883 on 1/27/202217171 on 3/31/202217171 on 4/1/202217171 on 5/23/202217171 on 8/1/202217171 on 9/22/202217171 on 12/16/202217171 on 1/17/202317171 on 2/22/202317171 on 3/1/202317774 on 3/31/202317774 on 7/20/202317774 on 8/23/202317774 on 9/29/202317774 on 11/17/202318353 on 3/28/2024