EAGLESTONE WEALTH ADVISORS, INC.
Adviser information for EAGLESTONE WEALTH ADVISORS, INC. last updated from Form ADV on March 29th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 5 |
| 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 | 474 | $193.8M |
| Non-Discretionary | 0 | $0 |
| Total | 474 | $193.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 356 | $67.8M |
| HNW Individuals | 93 | $101.9M |
| 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 | 25 | $24.1M |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCONSULTING FEES |
Identifiers
| SEC RIA File Number | 801-68116 |
|---|---|
| SEC ERA File Number | 801-68116 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141014 |
| Legal Entity Identifier | None |
Principal Office
1101 WOOTTON PARKWAYSUITE 400
ROCKVILLE
MD
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 301-924-2160, Fax: 202-204-6322
Websites
Chief Compliance Officer
TARUN MEHTA
PRESIDENT/CHIEF COMPLIANCE OFFICER
1101 WOOTTON PARKWAY
SUITE 400
ROCKVILLE
MD
United States
Tel:
301-917-9309
T*****@********M
(Full email address available in API data)
Industry Affiliates
| EAGLESTONE TAX & WEALTH ADVISORS, INC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WARRING, JAMES, DALE | Individual | – | FOUNDER & CEO | 08/2006 | 50-75% |
| Mehta, Tarun | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 11/2010 | 10-25% |
| LAGER, JOSEPH | Individual | – | SHAREHOLDER | 01/2017 | 10-25% |
| EAGLESTONE TAX & WEALTH ADVISORS, INC. | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| THE JAMES D. WARRING: REVOCABLE TRUST | Domestic Entity | EAGLESTONE TAX & WEALTH ADVISORS, INC. | OWNER | 01/2022 | 50-75% |
| WARRING, JAMES, DALE | Individual | THE JAMES D. WARRING: REVOCABLE TRUST | TRUSTEE | 01/2022 | |
| Martin, John, W | Individual | – | CHIEF OPERATING OFFICER | 01/2022 | 10-25% |