ALM FIRST FINANCIAL ADVISORS LLC
Adviser information for ALM FIRST FINANCIAL ADVISORS LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 52 | $1.5B |
| Non-Discretionary | 165 | $67.2B |
| Total | 217 | $68.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $107.7M |
| Banking or thrift institutions | 160 | $67.6B |
| 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 | <5 | $897.9M |
| 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 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-57980 |
|---|---|
| SEC ERA File Number | 801-57980 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108561 |
| Legal Entity Identifier | 549300LNCTO1MG586P59 |
Principal Office
3800 MAPLE AVENUESTE. 600
DALLAS
TX
United States
Monday - Friday, 8-5
Tel: 800-752-4628, Fax: 469-372-1316
Chief Compliance Officer
JUSTIN DAUSCH
3800 MAPLE AVENUE
STE. 600
DALLAS
TX
United States
Tel:
781-771-6032
J******@**********************M
(Full email address available in API data)
Regulatory Contact
DAVID RIEMER
MANAGING DIRECTOR, OPERATIONS
3800 MAPLE AVENUE
STE. 600
DALLAS
TX
United States
Tel:
214-373-1948
Fax:
214-451-2402
D******@***********M
(Full email address available in API data)
Industry Affiliates
| ALM FIRST EXECUTIVE BENEFITS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOLLIS, EMILY, MORE | Individual | – | MANAGING PARTNER, CEO | 07/2001 | < 5% |
| ENSWEILER, MICHAEL, EDDON | Individual | – | PRINCIPAL | 06/2013 | < 5% |
| PERRY, ROBERT | Individual | – | PRINCIPAL | 11/2015 | < 5% |
| GRAF, JOHN, ARTHUR | Individual | ALM FIRST GROUP, LLC | RAMBLER DIRECTOR | 07/2018 | |
| BRAZELTON, FREDERICK, WALTER | Individual | ALM FIRST GROUP, LLC | PLATFORM DIRECTOR | 07/2018 | |
| HOLLIS, EMILY, MORE | Individual | ALM FIRST GROUP, LLC | DIRECTOR | 07/2018 | 25-50% |
| ALM FIRST GROUP, LLC | Domestic Entity | – | MEMBER | 07/2018 | > 75% |
| PLATFORM ALM HOLDINGS, LLC | Domestic Entity | ALM FIRST GROUP, LLC | DIRECTOR | 07/2018 | 25-50% |
| GRAF, JOHN, ARTHUR | Individual | – | DIRECTOR | 11/2015 | < 5% |
| GOODMAN, TRAVIS, EUGENE | Individual | ALM FIRST GROUP, LLC | MANAGING MEMBER | 07/2018 | |
| HALEY, JASON, WILLIAM | Individual | – | CHIEF INVESTMENT OFFICER | 01/2020 | < 5% |
| Kalra, Vikas, Mohan | Individual | – | PLATFORM DIRECTOR | 04/2020 | < 5% |
| Kalra, Vikas, Mohan | Individual | ALM FIRST GROUP, LLC | PLATFORM DIRECTOR | 07/2018 | |
| Dausch, Justin | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |