YOUR SOURCE FINANCIAL
YOUR SOURCE FINANCIAL, PLC. Legal Name
Adviser information for YOUR SOURCE FINANCIAL last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 501 | $216.7M |
| Non-Discretionary | 43 | $19.1M |
| Total | 544 | $235.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 62 | $19.5M |
| HNW Individuals | 28 | $205.1M |
| 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 | $6.1M |
| 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 | 1 | $5.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 6 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-62784 |
|---|---|
| SEC ERA File Number | 801-62784 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109409 |
| Legal Entity Identifier | None |
Principal Office
1540 E MARYLAND AVESUITE 104
PHOENIX
AZ
United States
Monday - Friday, 8AM TO 5PM
Tel: 602-343-1700, Fax: None
Websites
Chief Compliance Officer
GEORGE R COLLETT
1540 E MARYLAND AVE
104
PHOENIX
AZ
United States
Tel:
602-343-1700
Fax:
602-343-1700
G*******@*******M
(Full email address available in API data)
Regulatory Contact
GEORGE COLLETT
1540 E MARYLAND AVE
104
PHOENIX
AZ
United States
Tel:
602-343-1700
Fax:
602-343-1700
G*******@*******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 |
|---|---|---|---|---|---|
| COLLETT, GEORGE, RICHARD | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 04/2000 | 25-50% |
| MOUNT WHITNEY INVESTMENTS, L.L.C. | Domestic Entity | – | MEMBER | 11/2009 | 10-25% |
| BAUM, JEFFRY, WILLIAM | Individual | MOUNT WHITNEY INVESTMENTS, L.L.C. | MEMBER | 10/2009 | 50-75% |