KELLEY INVESTMENTS
KELLEY INVESTMENTS, LLC Legal Name
Adviser information for KELLEY INVESTMENTS last updated from Form ADV on March 7th, 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 | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 320 | $158.0M |
| Non-Discretionary | 10 | $4.6M |
| Total | 330 | $162.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 120 | $45.9M |
| HNW Individuals | 25 | $116.7M |
| 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 businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-67645 |
|---|---|
| SEC ERA File Number | 801-67645 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119099 |
| Legal Entity Identifier | None |
Principal Office
2175 EL AMIGO ROADDEL MAR
CA
United States
Monday - Friday, 6:30AM-5PM
Tel: 858-350-1010, Fax: 858-350-1044
Websites
Chief Compliance Officer
CRAIG P. KELLEY
PRESIDENT/CCO
2175 EL AMIGO ROAD
DEL MAR
CA
United States
Tel:
858-350-1010
Fax:
858-350-1044
C****@********************M
(Full email address available in API data)
Regulatory Contact
SEAN OHARA
IAR
2175 EL AMIGO ROAD
DEL MAR
CA
United States
Tel:
8583501010
Fax:
8583501044
S***@********************M
(Full email address available in API data)
Industry Affiliates
| SCOTT AND CRONIN CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KELLEY, CRAIG, PATRICK | Individual | – | CIO/CHIEF COMPLIANCE OFFICER | 07/1996 | < 5% |
| KELLEY, CRAIG, PATRICK | Individual | KELLEY FAMILY TRUST DATED 09/22/1994 | TRUSTEE | 09/1994 | 50-75% |
| Kelley, Caren, E | Individual | KELLEY FAMILY TRUST DATED 09/22/1994 | TRUSTEE | 09/1994 | 50-75% |
| KELLEY FAMILY TRUST 09/22/1994 | Domestic Entity | – | MEMBER | 01/2017 | > 75% |