AVISEN ADVISORS, LLC
Adviser information for AVISEN ADVISORS, LLC last updated from Form ADV on March 27th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 417 | $303.9M |
| Non-Discretionary | 2 | $1.6M |
| Total | 419 | $305.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 78 | $25.0M |
| HNW Individuals | 100 | $261.5M |
| 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 | <5 | $7.1M |
| Charitable organizations | <5 | $7.9M |
| 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 | <5 | $3.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
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 AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-67652 |
|---|---|
| SEC ERA File Number | 801-67652 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113791 |
| Legal Entity Identifier | None |
Principal Office
3620 AMERICAN RIVER DRIVESUITE 145
SACRAMENTO
CA
United States
Monday - Friday, 6:00 AM - 4:00 PM
Tel: 916-480-2747, Fax: 916-480-2741
Chief Compliance Officer
A. WAYNE ROBELLO
MANAGING MEMBER
3620 AMERICAN RIVER DRIVE
SUITE 145
SACRAMENTO
CA
United States
Tel:
916-480-2747
Fax:
916-480-2741
W*******@***************M
(Full email address available in API data)
Regulatory Contact
A. WAYNE ROBELLO
MANAGING MEMBER
3620 AMERICAN RIVER DRIVE
SUITE 145
SACRAMENTO
CA
United States
Tel:
916-480-2747
Fax:
916-480-2741
W*******@***************M
(Full email address available in API data)
Industry Affiliates
| AVISEN WEALTH MANAGEMENT, INC. | 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 |
|---|---|---|---|---|---|
| BROWN, KENNETH, ELVIN | Individual | – | MANAGING MEMBER | 05/2001 | 50-75% |
| ROBELLO, ALAN, WAYNE | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 05/2001 | 50-75% |