SUNDVOLD FINANCIAL
SUNDVOLD CAPITAL MANAGEMENT LLC Legal Name
Adviser information for SUNDVOLD FINANCIAL last updated from Form ADV on March 12th, 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 | Missouri, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 435 | $209.0M |
| Total | 435 | $209.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 435 | $209.0M |
| HNW Individuals | 0 | $0 |
| 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 | 30 |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-57007 |
|---|---|
| SEC ERA File Number | 801-57007 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108176 |
| Legal Entity Identifier | None |
Principal Office
1000 W. NIFONGBUILDING 4, SUITE 104
COLUMBIA
MO
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 573-443-1000, Fax: 573-443-8888
Websites
Chief Compliance Officer
BRYAN ENGLAND
DIRECTOR OF OPERATIONS
1000 W. NIFONG
BUILDING 4, SUITE 104
COLUMBIA
MO
United States
Tel:
573-443-1000
Fax:
573-443-8888
B*******@***********M
(Full email address available in API data)
Regulatory Contact
ERIC MORRISON
PRESIDENT
1000 W. NIFONG
BUILDING 4, SUITE 104
COLUMBIA
MO
United States
Tel:
573-443-1000
Fax:
573-443-8888
E********@***********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 |
|---|---|---|---|---|---|
| SUNDVOLD, JON, THOMAS | Individual | – | OWNER | 10/1997 | > 75% |
| ENGLAND, BRYAN, ASHLEY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| MORRISON, ERIC, RAY | Individual | – | PRESIDENT | 06/2022 | < 5% |