FIRST ASSOCIATED INVESTMENT ADVISORS, INC.
Adviser information for FIRST ASSOCIATED INVESTMENT ADVISORS, INC. last updated from Form ADV on June 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $32.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $32.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $32.5M |
| 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 | 0 | $0 |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-60972 |
|---|---|
| SEC ERA File Number | 801-60972 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113086 |
| Legal Entity Identifier | None |
Principal Office
5161 MILLER TRUNK HIGHWAYDULUTH
MN
United States
Monday - Friday, 8:30 A.M TO 5:00 P.M.
Tel: 218-722-8248, Fax: 218-722-8823
Websites
Chief Compliance Officer
ANN T. HOCKMAN
5161 MILLER TRUNK HWY.
DULUTH
MN
United States
Tel:
(218) 722-8248
Fax:
(218) 722-8823
A**********@*************M
(Full email address available in API data)
Regulatory Contact
CURTIS A. TEBERG
PRESIDENT
5161 MILLER TRUNK HIGHWAY
DULUTH
MN
United States
Tel:
(218) 722-8248
Fax:
(218) 722-8823
C*******@*************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 |
|---|---|---|---|---|---|
| TEBERG, CURTIS, ALAN | Individual | – | PRESIDENT | 04/1995 | > 75% |
| HOCKMAN, ANN, THERESA | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2004 | < 5% |