ESTATE & TRUST ADVISORS
ESTATE & TRUST ADVISORS, INC. Legal Name
Adviser information for ESTATE & TRUST ADVISORS last updated from Form ADV on March 21st, 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 | Illinois, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 525 | $190.2M |
| Non-Discretionary | 16 | $26.2M |
| Total | 541 | $216.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 71 | $79.9M |
| HNW Individuals | 59 | $136.5M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-67028 |
|---|---|
| SEC ERA File Number | 801-67028 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123802 |
| Legal Entity Identifier | None |
Principal Office
707 SKOKIE BLVDSUITE 300
NORTHBROOK
IL
United States
Monday - Friday, 8:30 A.M.-5:00 P.M.
Tel: 847-441-4600, Fax: 847-441-4605
Chief Compliance Officer
MARK J. SCHWARTZ
707 SKOKIE BLVD
SUITE 300
NORTHBROOK
IL
United States
Tel:
847-441-4600
Fax:
847-441-4605
M***@*************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 |
|---|---|---|---|---|---|
| SCHWARTZ, MARK, JEFFREY | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 09/1997 | 25-50% |
| MADISON, DAVID, JOSEPH | Individual | – | VICE PRESIDENT | 06/2018 | 10-25% |
| JACOBS, JORDAN, M | Individual | – | SENIOR VICE PRESIDENT | 06/2018 | 25-50% |