FINANCIAL DIRECTIONS LLC
Adviser information for FINANCIAL DIRECTIONS LLC last updated from Form ADV on March 25th, 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 | Arizona, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 3,753 | $560.6M |
| Non-Discretionary | 0 | $0 |
| Total | 3,753 | $560.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,642 | $273.9M |
| HNW Individuals | 111 | $286.7M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-56919 |
|---|---|
| SEC ERA File Number | 801-56919 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108475 |
| Legal Entity Identifier | None |
Principal Office
1228 EAST PRINCE ROADTUCSON
AZ
United States
Monday - Friday, 8:00 - 4:00
Tel: 520-408-7777, Fax: 520-408-7770
Chief Compliance Officer
MARY CHERBA
ADVISOR, OFFICE MANAGER, ACCOUNTANT
1228 E. PRINCE ROAD
TUCSON
AZ
United States
Tel:
520-408-7777
Fax:
520-408-7770
M***@*************************M
(Full email address available in API data)
Regulatory Contact
STAN SPACKEEN
MANAGING PARTNER, ADVISOR
1228 E PRINCE RD
TUCSON
AZ
United States
Tel:
520-408-7777
Fax:
520-408-7770
S***@*************************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 |
|---|---|---|---|---|---|
| SPACKEEN, STANTON, WILLIAM | Individual | – | MANAGING MEMBER | 03/1996 | 50-75% |
| GRIFFITH, FRANK, BERTRAM | Individual | – | MEMBER RETIRED | 03/2014 | 50-75% |
| CHERBA, MARY, LEE | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2005 | < 5% |