CHECKS & BALANCES, INC.
Adviser information for CHECKS & BALANCES, INC. last updated from Form ADV on January 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 35 | $237.9M |
| Non-Discretionary | 0 | $0 |
| Total | 35 | $237.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $83,529 |
| HNW Individuals | 18 | $198.8M |
| 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 | <5 | $19.5M |
| 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 | <5 | $19.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-60184 |
|---|---|
| SEC ERA File Number | 801-60184 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112145 |
| Legal Entity Identifier | None |
Principal Office
2675 PACES FERRY ROAD, SESUITE 150
ATLANTA
GA
United States
Monday - Friday, 9:00-4:00
Tel: 404-233-0560, Fax: 404-233-0580
Websites
Chief Compliance Officer
FRANCES G. ROGERS
PRESIDENT
2675 PACES FERRY ROAD, SE
SUITE 150
ATLANTA
GA
United States
Tel:
404-233-0560
Fax:
404-233-0580
F***@*******************M
(Full email address available in API data)
Regulatory Contact
FRANCES G. ROGERS
PRESIDENT
2675 PACES FERRY ROAD, SE
SUITE 150
ATLANTA
GA
United States
Tel:
404 233-0560
Fax:
404 233-0580
F***@*******************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 |
|---|---|---|---|---|---|
| ROGERS, FRANCES, GAIL | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 09/1987 | 25-50% |
| MOORE, STARR | Individual | – | CHAIRMAN | 09/1987 | 50-75% |