CHATTERTON & ASSOCIATES
CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC. Legal Name
Adviser information for CHATTERTON & ASSOCIATES last updated from Form ADV on March 31st, 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 | California, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 578 | $189.9M |
| Non-Discretionary | 2,172 | $864.4M |
| Total | 2,750 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,673 | $845.2M |
| HNW Individuals | 77 | $209.1M |
| 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 | 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 |
| No. of Financial Planning Clients | 2500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Registered representative of a broker-dealerPROVIDES TAX ADVICE |
Identifiers
| SEC RIA File Number | 801-63394 |
|---|---|
| SEC ERA File Number | 801-63394 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132295 |
| Legal Entity Identifier | None |
Principal Office
3061 E. LA PALMA AVE.ANAHEIM
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 714-572-2050, Fax: 714-572-2056
Chief Compliance Officer
ABIGAIL KATZEN MOONEY
223 WILMINGTON WEST CHESTER PIKE
SUITE 216
CHADDS FORD
PA
United States
Tel:
917-400-8066
A******@**************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 |
|---|---|---|---|---|---|
| CHATTERTON, ROBERT, D. | Individual | – | PRESIDENT | 07/2004 | > 75% |
| MOONEY, ABIGAIL, KATZEN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |