TRANSWESTERN CAPITAL ADVISORS, LLC
DEKONING AND COMPANY, LLC Legal Name
Adviser information for TRANSWESTERN CAPITAL ADVISORS, LLC 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $83.5M |
| Non-Discretionary | 1 | $32.5M |
| Total | 2 | $116.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $32.5M |
| Investment companies | 1 | $83.5M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-67113 |
|---|---|
| SEC ERA File Number | 801-67113 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141605 |
| Legal Entity Identifier | None |
Principal Office
37 BELLEVUE AVENUENEWPORT
RI
United States
Monday - Friday, 8AM TO 5PM
Tel: 800-997-0718, Fax: None
Websites
Chief Compliance Officer
KENDRIK DE KONING
CHIEF COMPLIANCE OFFICER
37 BELLEVUE AVENUE
NEWPORT
RI
United States
Tel:
800-997-0718
K******@***************M
(Full email address available in API data)
Industry Affiliates
| TRANSWESTERN CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DEKONING, KENDRIK, JON | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 07/2006 | > 75% |