5T WEALTH, LLC
Adviser information for 5T WEALTH, LLC last updated from Form ADV on March 8th, 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 | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 360 | $215.6M |
| Non-Discretionary | 1 | $499,965 |
| Total | 361 | $216.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 108 | $29.0M |
| HNW Individuals | 28 | $164.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 32 | $5.5M |
| Pension and profit sharing plans | <5 | $4.8M |
| Charitable organizations | <5 | $9.8M |
| 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 | 5 | $2.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSOLICITOR FEES FROM OTHER INVESTMENT ADVISORY FIRMS |
Identifiers
| SEC RIA File Number | 801-58183 |
|---|---|
| SEC ERA File Number | 801-58183 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112552 |
| Legal Entity Identifier | None |
Principal Office
595 COOMBS STREETNAPA
CA
United States
Monday - Friday, MON TO FRI 9:00 - 4:00
Tel: (707) 224-1340, Fax: (707) 224-2521
Chief Compliance Officer
HIEN SCOZZAFAVA
CHIEF COMPLIANCE & CLIENT SERVICES OFFICER
595 COOMBS STREET
NAPA
CA
United States
Tel:
707-603-2670
Fax:
707-224-2521
H***@***********M
(Full email address available in API data)
Regulatory Contact
MARGARET KRSEK
CHIEF FINANCIAL OFFICER
595 COOMBS STREET
NAPA
CA
United States
Tel:
707-224-1340
Fax:
707-224-2521
M*****@***********M
(Full email address available in API data)
Industry Affiliates
| 5T WEALTH PARTNERS, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 5T WEALTH PARTNERS, LP | TAX LIEN FUND | $10.8M | $1.0M | 26 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KRSEK, PAUL, JAMES | Individual | – | CHIEF EXECUTIVE OFFICER (CEO) | 06/1998 | 25-50% |
| KRSEK, MARGARET | Individual | – | CHIEF FINANCIAL OFFICER (CFO) | 01/2009 | 25-50% |
| SCOZZAFAVA, HIEN, L | Individual | – | CHIEF COMPLIANCE & CLIENT SERVICES OFFICER (CCO/CSO) | 07/2016 | 5-10% |