Hedge Fund Database

CUMBERLAND ADVISORS

CUMBERLAND ADVISORS INC Legal Name

Adviser information for CUMBERLAND ADVISORS last updated from Form ADV on March 22nd, 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 Florida, United States

Employees

Total Number of Employees 44
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 19
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 2,594 $3.4B
Non-Discretionary 14 $13.1M
Total 2,608 $3.4B

Clients

Type Number RAUM
Individuals 1,230 $810.4M
HNW Individuals 719 $1.7B
Banking or thrift institutions <5 $455,920
Investment companies 1 $2.2M
Business development companies 0 $0
Pooled investment vehicles 1 $2.1M
Pension and profit sharing plans 18 $58.4M
Charitable organizations 35 $421.0M
State or municipal gov entities 5 $61.9M
Other investment advisers 0 $0
Insurance companies <5 $4.9M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 116 $343.1M
Other 0 $0
Type Number
No. of Non-RAUM Clients 2127
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesMarket timing servicesCONSULTING SERVICES FOR GOVERNMENTAL CLIENTS
Compensation % of AUMHourly chargesFixed feesMODEL DELIVERY FEES

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 1.5B
Both for Same 0
Portfolio Manager to Program Sponsor
PAN WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
MAC BNY MELLON ADVISORS, INC.
MAS ENVESTNET PMC
MAC UBS FINANCIAL SERVICES INC.
LINCOLN MANAGED ASSETS PROGRAM LINCOLN FINANCIAL ADVISORS CORPORATION
MANAGED ASSETS PROGRAM COMMONWEALTH FINANCIAL NETWORK
SMAP STIFEL, NICOLAUS & COMPANY, INCORPORATED
OSM RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
FS, UMA, CES, IMS MORGAN STANLEY
SELECT SEPARATE ACCOUNT AMERIPRISE FINANCIAL SERVICES, LLC
PORTFOLIO MANAGER'S WRAP FEE PROGRAM (PMW) LEGACY FINANCIAL ADVISORS, LLC
CITIZENS ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM CITIZENS SECURITIES, INC.
WRAP ASSET MANAGEMENT SERVICE THE MENARD FINANCIAL GROUP, LLC
SPA MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CORE ASSET MANAGER ORION PORTFOLIO SOLUTIONS, LLC
XXX PARK AVENUE SECURITIES LLC
XXX PRUDENTIAL FINANCIAL PLANNING SERVICES
MAP RBC CAPITAL MARKETS, LLC
XXX TRUIST ADVISORY SERVICES, INC.
SMA VISION2020 WEALTH MANAGEMENT CORP.
XXX WILLIAM BLAIR & COMPANY L.L.C.
FCA'S WRAP FEE MANAGED ACCOUNT PROGRAM FINTRUST CAPITAL ADVISORS, LLC
SMA SELECT MML INVESTORS SERVICES, LLC
LIFETIME WEALTH PORTFOLIOS SMA EAGLE STRATEGIES LLC

Identifiers

SEC RIA File Number 801-55344
SEC ERA File Number 801-55344
SEC CIK Numbers 1255435
SEC CRD Numbers 107964
Legal Entity Identifier N/A

Principal Office

ONE SARASOTA TOWER
2 N. TAMIAMI TRAIL, SUITE 303
SARASOTA
FL
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 800-257-7013, Fax: 941-554-4352

Websites

www.google.com/business/ www.cumber.com www.bingplaces.com/ twitter.com/cumberlandadv www.facebook.com/cumberlandadv www.linkedin.com/company/cumberlandadv www.youtube.com/cumberlandadvisors seekingalpha.com/author/david-kotok

Chief Compliance Officer

TIMOTHY J LYLE
ONE SARASOTA TOWER
2 N. TAMIAMI TR
SARASOTA
FL
United States
Tel: 800-257-7013 X 350
Fax: 941-554-4352
(Full email address available in API data)

Regulatory Contact

JOHN MOUSSEAU
CEO
ONE SARASOTA TOWER
2 N. TAMIAMI TR
SARASOTA
FL
United States
Tel: 800-257-7013 X 307
Fax: 856-794-9113
(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
LOPEZ, DAISY, GLORIA Individual – EXECUTIVE VICE PRESIDENT, DIRECTOR, SHAREHOLDER 04/2018 10-25%
KOTOK, DAVID, RAPHAEL Individual – CIO, DIRECTOR & SHAREHOLDER 04/2018 5-10%
MOUSSEAU, JOHN, ROBERT Individual – CEO, DIRECTOR, SHAREHOLDER 04/2018 10-25%
ECHEVARRIA, MARIBEL, NO MIDDLE NAME Individual – SR. VICE PRESIDENT, SHAREHOLDER 03/2005 < 5%
EISENBEIS, ROBERT, ALLEN Individual – VICE CHAIRMAN, DIRECTOR, SHAREHOLDER 01/2011 5-10%
STREIT, PHYLLIS, ANN Individual – CFO, SECRETARY, TREASURER, DIRECTOR, SHAREHOLDER 04/2018 5-10%
MCNIVEN, MICHAEL, DENNIS Individual – SR. VICE PRESIDENT, SHAREHOLDER 04/2018 < 5%
MCALEER, MATTHEW, CRAIG Individual – PRESIDENT, DIRECTOR, SHAREHOLDER 04/2018 < 5%
LYLE, TIMOTHY, JAMES Individual – CHIEF COMPLIANCE OFFICER 03/2018 < 5%
HEALY, PATRICIA, MARY Individual – SR VICE PRESIDENT, SHAREHOLDER 04/2018 < 5%
SPARKS, DAVID, EMERSON Individual – CHAIRMAN, SHAREHOLDER 04/2018 10-25%
DONATO, LAWRENCE, EDWARD Individual – DIRECTOR, SHAREHOLDER 04/2018 5-10%
MARCUS, JEROME, IRWIN Individual – DIRECTOR, SHAREHOLDER 04/2018 10-25%
MYERS, MARK, JAMES Individual – CHIEF OPERATING OFFICER, SHAREHOLDER 10/2018 < 5%
PEASE, BENJAMIN, CURTIS Individual – MANAGING DIRECTOR - FIXED INCOME & CHIEF INNOVATION OFFICER 10/2023 < 5%

No. Employees, Historic

50250201920202021202220232024202535 on 5/3/201935 on 5/13/201935 on 5/13/201935 on 3/19/202035 on 6/9/202035 on 6/17/202035 on 6/19/202035 on 1/5/202141 on 3/23/202141 on 3/24/202141 on 3/24/202141 on 3/24/202141 on 3/30/202141 on 5/7/202141 on 5/19/202141 on 7/23/202141 on 11/16/202145 on 3/11/202245 on 3/11/202245 on 3/11/202245 on 8/2/202245 on 12/7/202245 on 12/7/202245 on 12/7/202245 on 12/7/202245 on 3/29/202345 on 3/29/202345 on 8/22/202345 on 10/3/202345 on 10/3/202345 on 10/3/202345 on 10/3/202345 on 10/4/202344 on 3/22/2024

RAUM, Historic

5B3B020192020202120222023202420253069933943 on 5/3/20193069933943 on 5/13/20193069933943 on 5/13/20193565385995 on 3/19/20203565385995 on 6/9/20203565385995 on 6/17/20203565385995 on 6/19/20203565385995 on 1/5/20213955084190 on 3/23/20213955084190 on 3/24/20213955084190 on 3/24/20213955084190 on 3/24/20213955084190 on 3/30/20213955084190 on 5/7/20213955084190 on 5/19/20213955084190 on 7/23/20213955084190 on 11/16/20214083396277 on 3/11/20224083396277 on 3/11/20224083396277 on 3/11/20224083396277 on 8/2/20224083396277 on 12/7/20223361335657 on 12/7/20223361335657 on 12/7/20223361335657 on 12/7/20223378840322 on 3/29/20233378840322 on 3/29/20233378840322 on 8/22/20233378840322 on 10/3/20233378840322 on 10/3/20233378840322 on 10/3/20233378840322 on 10/3/20233378840322 on 10/4/20233420180829 on 3/22/2024

No. Clients, Historic

3,0001,500020192020202120222023202420252114 on 5/3/20192114 on 5/13/20192114 on 5/13/20192327 on 3/19/20202327 on 6/9/20202327 on 6/17/20202327 on 6/19/20202327 on 1/5/20212853 on 3/23/20212853 on 3/24/20212853 on 3/24/20212853 on 3/24/20212853 on 3/30/20212853 on 5/7/20212853 on 5/19/20212853 on 7/23/20212853 on 11/16/20212513 on 3/11/20222513 on 3/11/20222513 on 3/11/20222513 on 8/2/20222513 on 12/7/20222460 on 12/7/20222460 on 12/7/20222460 on 12/7/20222911 on 3/29/20232911 on 3/29/20232911 on 8/22/20232911 on 10/3/20232911 on 10/3/20232911 on 10/3/20232911 on 10/3/20232911 on 10/4/20232125 on 3/22/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALIBABA GROUP HLDG SPN ADS 8 ORD SHS 841K 12K –
ALPHABET INC CLASS C 4M 19K –
ALPHABET INC CLASS A 288K 2K –
AMAZON COM INC COMMON 2M 9K –
APPLE INC COMMON 4M 18K –
BANK OF AMERICA CORP COMMON 2M 47K –
BERKSHIRE HATHAWAY CLASS B 11M 26K –
CATERPILLAR INC COMMON 3M 10K –
CHEVRON CORP COMMON 202K 1K –
COCA-COLA CO COMMON 233K 4K –
COMCAST CORP CLASS A 685K 18K –
CUMMINS INC COMMON 2M 8K –
FEDEX CORP COMMON 3M 10K –
FREEPORT-MCMORAN INC COMMON 4M 88K –
ISHARES LATN AMER 40 ETF 2M 68K –
ISHARES MSCI ACWI US ETF 8M 159K –
ISHARES EAFE SML CP ETF 214K 3K –
ISHARES U.S. MED DVC ETF 6M 104K –
ISHARES INC MSCI CDA INDEX 2M 59K –
ISHARES INC MSCI EMERG MRKT 275K 5K –
ISHARES INC MSCI TAIWAN ETF 2M 42K –
ISHARES INC MSCI JAPAN ETF 2M 33K –
ISHARES MSCI INDIA INDEX FUND 2M 40K –
ISHARES TR ISHARES BIOTECH 11M 80K –
ISHARES TR CORE S&P SMALL-CAP 16M 145K –
ISHARES TR NATL AMT FREE MUNI B 309K 3K –
ISHARES TR PFD AND INCM SEC 642K 20K –
JPMORGAN CHASE & CO COMMON 305K 2K –
LYONDELLBASELL INDUS SHARES A 268K 3K –
MACYS INC COMMON 2M 118K –
MATTEL INC COMMON 2M 93K –
MERCADOLIBRE INC COMMON 3M 2K –
META PLATFORMS INC COM USD0.000006 CL A 4M 8K –
MICROSOFT CORP COMMON 9M 19K –
OCCIDENTAL PETE CORP COMMON 2M 40K –
OPKO HEALTH INC COMMON 24K 20K –
PROSHARES TR ETF PSHS ULSHT 7-10Y 826K 35K –
SELECT SECTOR SPDR SBI INT-ENERGY 12M 128K –
SELECT SECTOR SPDR AMEX INDUSTRIAL SEL 4M 36K –
SPDR S&P 500 ETF TR UNITS SER 1 S&P 48M 88K –
SPDR S&P MIDCAP 400 UTSER1 S&PDCRP 25M 47K –
SPDR S&P MTLS&MNG SPDR SERIES TRUST 4M 71K –
SPDR SER TR SPDR NUVEEN BBG MUNI 931K 20K –
SPDR SERIES TRUST AEROSPACE DEF 22M 157K –
UNITED RENTALS INC COMMON 5M 8K –
VANGUARD BD INDEX FD ETF SHORT TRM BOND 634K 8K –
VANGUARD BD INDEX FD TOTAL BND MRKT ETF 773K 11K –
VANGUARD INDEX TR GROWTH 4M 11K –
VANGUARD INTL EQ IND FTSE EUROPE ETF 328K 5K –
WALMART INC COMMON 203K 3K –
WALT DISNEY CO COM 2M 15K –
WELLS FARGO & CO COMMON 671K 11K –
WISDOMTREE TR JAPAN HEDGE EQT 1M 12K –