Hedge Fund Database

CUSO FINANCIAL SERVICES, L.P.

Adviser information for CUSO FINANCIAL SERVICES, L.P. last updated from Form ADV on March 28th, 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 Partnership
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 833
Investment Advisory/Research 571
Registered Broker-Dealer Representatives 663
Registered State Investment Advisers 571
Licensed Agents of an Insurance Company 533
No. of Firms/People that Solicit Clients 160

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 16,052 $2.8B
Non-Discretionary 10,916 $1.9B
Total 26,968 $4.7B

Clients

Type Number RAUM
Individuals 21,011 $3.7B
HNW Individuals 515 $940.3M
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 2 $308,238
Charitable organizations 13 $2.7M
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 21 $4.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 16218
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
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 2.4B
Portfolio Manager to Program Sponsor
CONTOUR WRAP FEE PROGRAM CUSO FINANCIAL SERVICES, L.P.

Identifiers

SEC RIA File Number 801-60300
SEC ERA File Number 801-60300
SEC CIK Numbers 1926446
SEC CRD Numbers 42132
Legal Entity Identifier None

Principal Office

10150 MEANLEY DRIVE
1ST FLOOR
SAN DIEGO
CA
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: 800-686-4724, Fax: 858-530-4444

Websites

www.linkedin.com/company/cuso-financial-services-lp/ cusonet.com cfsdisclosure.com

Chief Compliance Officer

LAURA WHITE
ADVISORY CHIEF COMPLIANCE OFFICER
10150 MEANLEY DR
1ST FLOOR
SAN DIEGO
CA
United States
Tel: 315-609-7891
Fax: 315-234-0404
(Full email address available in API data)

Regulatory Contact

ELIZABETH LEGACY
BD CHIEF COMPLIANCE OFFICER
10150 MEANLEY DR
1ST FLOOR
SAN DIEGO
CA
United States
Tel: 858-857-1398
(Full email address available in API data)

Industry Affiliates

CADARET GRANT & CO INC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
CFS INSURANCE AND TECHNOLOGY SERVICES, LLC Insurance company or agency
GROVE POINT ADVISORS, LLC Other investment adviser, including financial planners
GROVE POINT INVESTMENTS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
NEXT FINANCIAL GROUP, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
NEXT FINANCIAL INSURANCE SERVICES COMPANY Insurance company or agency
SCF INVESTMENT ADVISORS, INC. Other investment adviser, including financial planners
SCF SECURITIES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
SORRENTO PACIFIC FINANCIAL, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency
WESTERN INTERNATIONAL SECURITIES Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MUMMAU, KEVIN SCOTT Individual – PRESIDENT 06/2008 < 5%
AWS 1, LLC Domestic Entity – GENERAL PARTNER 11/2017 25-50%
AWS 3, INC. Domestic Entity – LIMITED PARTNER 11/2017 > 75%
LEE EQUITY PARTNERS FUND II(A), L.P. Domestic Entity LEP ATRIA HOLDINGS, LLC MEMBER 07/2017 50-75%
LEP ATRIA HOLDINGS, LLC Domestic Entity ATRIA WEALTH SOLUTIONS HOLDINGS, LLC MEMBER; SERIES A UNITS 08/2017 50-75%
ATRIA WEALTH SOLUTIONS HOLDINGS, LLC Domestic Entity ATRIA WEALTH SOLUTIONS, INC. SHAREHOLDER 04/2018 > 75%
ATRIA WEALTH SOLUTIONS, INC. Domestic Entity AWS 3, INC. SHAREHOLDER 10/2018 > 75%
HORWITH, THEODORE ROBERT Individual – CHIEF FINANCIAL OFFICER, FINOP 05/2021 < 5%
AWS 3, INC. Domestic Entity AWS 1, LLC MEMBER 07/2017 > 75%
LEE EQUITY PARTNERS FUND II, L.P. Domestic Entity LEP ATRIA HOLDINGS, LLC MEMBER 07/2017 25-50%
LEE EQUITY PARTNERS II GP, LLC Domestic Entity LEE EQUITY PARTNERS FUND II, L.P. GENERAL PARTNER 09/2015
DOVER STREET VIII L.P. Domestic Entity LEE EQUITY PARTNERS FUND II, L.P. LIMITED PARTNER 03/2016 25-50%
LEE EQUITY PARTNERS II GP, LLC Domestic Entity LEE EQUITY PARTNERS FUND II(A), L.P. GENERAL PARTNER 09/2015
ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. Foreign Entity LEE EQUITY PARTNERS FUND II(A), L.P. LIMITED PARTNER 03/2016 25-50%
LEGACY, ELIZABETH ANNE Individual – CHIEF COMPLIANCE OFFICER 06/2023 < 5%
WHITE, LAURA NICOLE Individual – ADVISORY CHIEF COMPLIANCE OFFICER 11/2023 < 5%

No. Employees, Historic

90045002019202020212022202320242025703 on 6/29/2019703 on 7/3/2019703 on 7/10/2019703 on 7/12/2019703 on 7/23/2019703 on 9/19/2019703 on 1/22/2020703 on 1/27/2020726 on 5/14/2020726 on 6/30/2020726 on 8/5/2020726 on 8/31/2020726 on 8/31/2020726 on 11/24/2020673 on 3/31/2021673 on 5/6/2021673 on 5/14/2021673 on 6/4/2021673 on 6/9/2021673 on 8/24/2021673 on 1/27/2022656 on 3/31/2022656 on 4/1/2022656 on 10/28/2022656 on 1/17/2023803 on 3/31/2023803 on 6/21/2023803 on 9/29/2023803 on 11/17/2023833 on 3/28/2024

RAUM, Historic

5B3B020192020202120222023202420251925370981 on 6/29/20191925370981 on 7/3/20191934986386 on 7/10/20191934986386 on 7/12/20191934986386 on 7/23/20191934986386 on 9/19/20191934986386 on 1/22/20201934986386 on 1/27/20203330268306 on 5/14/20203330268306 on 6/30/20203330268306 on 8/5/20203330268306 on 8/31/20203330268306 on 8/31/20203330268306 on 11/24/20203507742173 on 3/31/20213507742173 on 5/6/20213507742173 on 5/14/20213507742173 on 6/4/20213507742173 on 6/9/20213507742173 on 8/24/20213507742173 on 1/27/20224384538933 on 3/31/20224384538933 on 4/1/20224384538933 on 10/28/20224384538933 on 1/17/20234082797608 on 3/31/20234082797608 on 6/21/20234082797608 on 9/29/20234082797608 on 11/17/20234664869848 on 3/28/2024

No. Clients, Historic

30,00015,0000201920202021202220232024202511991 on 6/29/201911991 on 7/3/201910667 on 7/10/201910667 on 7/12/201910667 on 7/23/201910667 on 9/19/201910667 on 1/22/202010667 on 1/27/202015015 on 5/14/202015015 on 6/30/202015015 on 8/5/202015015 on 8/31/202015015 on 8/31/202015015 on 11/24/202015499 on 3/31/202115499 on 5/6/202115499 on 5/14/202115499 on 6/4/202115499 on 6/9/202115499 on 8/24/202115499 on 1/27/202218497 on 3/31/202218497 on 4/1/202218497 on 10/28/202218497 on 1/17/202320830 on 3/31/202320830 on 6/21/202320830 on 9/29/202320830 on 11/17/202321562 on 3/28/2024