FLEETWOOD ASSET MANAGEMENT LTD.
Adviser information for FLEETWOOD ASSET MANAGEMENT LTD. last updated from Form ADV on May 13th, 2023. 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 | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 128 | $73.2M |
| Non-Discretionary | 0 | $0 |
| Total | 128 | $73.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 23 | $4.8M |
| HNW Individuals | 23 | $68.4M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-67851 |
|---|---|
| SEC ERA File Number | 801-67851 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132095 |
| Legal Entity Identifier | None |
Principal Office
31 MAMARONECK AVENUESUITE 513
WHITE PLAINS
NY
United States
TUESDAY-THURSDAY, 10:00 - 6:00
Tel: 914-468-1002, Fax: 914-468-1002
Websites
Chief Compliance Officer
JOAN M. GUCCIONE
PRESIDENT & CHIEF COMPLIANCE OFFICER
31 MAMARONECK AVENUE
SUITE 513
WHITE PLAINS
NY
United States
Tel:
914-468-1002
Fax:
914-468-1002
I***@*****************M
(Full email address available in API data)
Regulatory Contact
SCOTT GOTTLIEB
CONSULTANT
15 EAST PUTNAM AVENUE
#286
GREENWICH
CT
United States
Tel:
888 798-2930
Fax:
203-702-5420
S**@**************************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 |
|---|---|---|---|---|---|
| GUCCIONE, JOAN, M | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2004 | > 75% |