GRATTAN FINANCIAL STRATEGIES, INC.
Adviser information for GRATTAN FINANCIAL STRATEGIES, INC. last updated from Form ADV on January 8th, 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 | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 314 | $133.0M |
| Non-Discretionary | 34 | $144.7M |
| Total | 348 | $277.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 348 | $103.2M |
| HNW Individuals | 27 | $174.6M |
| 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 | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesCommissions |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-55656 |
|---|---|
| SEC ERA File Number | 801-55656 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108449 |
| Legal Entity Identifier | None |
Principal Office
8814 HUNTINGTON DRIVESAN GABRIEL
CA
United States
Monday - Friday, 8:00-1:00
Tel: 626-451-0840, Fax: 626-451-0957
Chief Compliance Officer
DANIEL GRATTAN
8814 HUNTINGTON DR
SAN GABRIEL
CA
United States
Tel:
626-451-0840
Fax:
626-451-0957
G******@*************M
(Full email address available in API data)
Regulatory Contact
GEORGENE M. GRATTAN
PRESIDENT
8814 HUNTINGTON DRIVE
SAN GABRIEL
CA
United States
Tel:
626-451-0840
Fax:
626-451-0957
G******@*************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 |
|---|---|---|---|---|---|
| GRATTAN, GEORGENE, MARIE | Individual | – | PRESIDENT | 06/1989 | 50-75% |
| GRATTAN, DANIEL, VINCENT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2005 | 10-25% |
| GRATTAN, CHRIS, MICHAEL | Individual | – | EXCUTIVE V.P. | 10/2004 | 25-50% |