SUCCESSFUL MONEY STRATEGIES INC
Adviser information for SUCCESSFUL MONEY STRATEGIES INC last updated from Form ADV on February 1st, 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 | Massachusetts, 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 | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 695 | $174.9M |
| Non-Discretionary | 0 | $0 |
| Total | 695 | $174.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 191 | $80.7M |
| HNW Individuals | 54 | $94.3M |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-43656 |
|---|---|
| SEC ERA File Number | 801-43656 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109829 |
| Legal Entity Identifier | None |
Principal Office
10 NORTH MAIN STREETFALL RIVER
MA
United States
Monday - Friday, 8:00 A.M. - 4:00 P.M.
Tel: (508) 730-2300, Fax: (508) 730-1135
Chief Compliance Officer
DENNIS J. O'KEEFE
PRESIDENT AND CHIEF COMPLIANCE OFFICER
10 N. MAIN STREET
FALL RIVER
MA
United States
Tel:
(508) 730-2300
Fax:
(508) 730-1135
D*****@******************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 |
|---|---|---|---|---|---|
| O'KEEFE, DENNIS, JUDE | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/1993 | > 75% |