FIRSTRUST
FIRSTRUST LLC Legal Name
Adviser information for FIRSTRUST last updated from Form ADV on March 13th, 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 | Florida, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 115 | $187.0M |
| Non-Discretionary | 11 | $13.0M |
| Total | 126 | $200.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $2.0M |
| HNW Individuals | 115 | $187.0M |
| 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 | <5 | $11.0M |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-56812 |
|---|---|
| SEC ERA File Number | 801-56812 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111800 |
| Legal Entity Identifier | None |
Principal Office
113 EXECUTIVE CIR.DAYTONA BEACH
FL
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 386-788-3737, Fax: 386-788-3717
Websites
Chief Compliance Officer
CHRISTOPHER CANNON
CHIEF INVESTMENT OFFICER
113 EXECUTIVE CIRCLE
DAYTONA BEACH
FL
United States
Tel:
386-788-3737
Fax:
386-788-3717
C****@****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL KOENIG
FOUNDING PARTNER / CHAIRMAN
113 EXECUTIVE CIRCLE
FIRSTRUST, LLC
DAYTONA BEACH
FL
United States
Tel:
13867883737
Fax:
386-788-3717
M***@****************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 |
|---|---|---|---|---|---|
| KOENIG, MICHAEL, T | Individual | – | FOUNDING PARTNER / CHAIRMAN | 04/1999 | < 5% |
| CANNON, CHRISTOPHER, WOOD | Individual | – | CHIEF COMPLIANCE OFFICER / CHIEF INVESTMENT OFFICER | 09/2001 | 25-50% |
| KEARNEY, WILLIAM, JAMES | Individual | – | PRESIDENT | 10/2002 | < 5% |
| MELODY LEE KOENIG, TRUSTEE | Domestic Entity | KOENIG FAMILY DYNASTY TRUST | IRREVOCABLE FAMILY TRUST | 03/2002 | 50-75% |
| KOENIG FAMILY DYNASTY TRUST | Domestic Entity | – | IRREV TRUST | 03/2003 | 50-75% |