CROWN CAPITAL SECURITIES, L.P.
Adviser information for CROWN CAPITAL SECURITIES, L.P. last updated from Form ADV on March 31st, 2023. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 164 |
|---|---|
| Investment Advisory/Research | 164 |
| Registered Broker-Dealer Representatives | 162 |
| Registered State Investment Advisers | 151 |
| Licensed Agents of an Insurance Company | 105 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 448 | $144.9M |
| Non-Discretionary | 5,206 | $1.1B |
| Total | 5,654 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,320 | $791.2M |
| HNW Individuals | 182 | $339.5M |
| Banking or thrift institutions | <5 | $9.1M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 87 | $56.4M |
| Charitable organizations | 27 | $9.1M |
| 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 | 27 | $17.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 150 |
| 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 | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 90.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CROWN STERLING | CROWN CAPITAL SECURITIES, L.P. |
| CROWN HERITAGE | CROWN CAPITAL SECURITIES, L.P. |
Identifiers
| SEC RIA File Number | 801-57663 |
|---|---|
| SEC ERA File Number | 801-57663 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 6312 |
| Legal Entity Identifier | None |
Principal Office
725 TOWN & COUNTRY ROADSUITE 530
ORANGE
CA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 714-547-9481, Fax: 714-547-9735
Chief Compliance Officer
JONATHAN FRENCH
PRESIDENT
725 TOWN & COUNTRY RD
SUITE 530
ORANGE
CA
United States
Tel:
714-547-9481
Fax:
714-547-9735
J******@*************************M
(Full email address available in API data)
Regulatory Contact
DAROL PAULSEN
CHIEF EXECUTIVE OFFICER
725 TOWN & COUNTRY ROAD
SUITE 530
ORANGE
CA
United States
Tel:
714-547-9481
Fax:
714-547-9735
P*******@*************************M
(Full email address available in API data)
Industry Affiliates
| CROWN CAPITAL SECURITIES, L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersAccountant or accounting firmLawyer or law firmInsurance company or agencyPension consultantReal estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PAULSEN, DAROL KENNETH | Individual | – | CEO/DIR./TREASURER/SROP | 06/1999 | < 5% |
| PAULSEN, PHYLLIS JEAN | Individual | – | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 06/1999 | < 5% |
| DELTA BROKER HOLDING, LLC | Domestic Entity | – | LIMITED PARTNER | 02/1999 | 25-50% |
| FRENCH, JONATHAN LEE | Individual | – | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 09/2003 | < 5% |
| EDWARDS, DON MICHAEL | Individual | – | CFO/FINOP/CONTROLLER | 09/2003 | < 5% |
| DELTA CAPITAL HOLDINGS, LLC | Domestic Entity | – | GENERAL PARTNER | 02/1999 | 50-75% |
| PAULSEN, DAROL KENNETH | Individual | DELTA CAPITAL HOLDINGS, LLC | MANAGING MEMBER | 02/1999 | 50-75% |