BERNARDI ASSET MANAGEMENT, LLC
Adviser information for BERNARDI ASSET MANAGEMENT, LLC last updated from Form ADV on January 4th, 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 | SEPTEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 145 | $338.8M |
| Non-Discretionary | 1 | $9.7M |
| Total | 146 | $348.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 23 | $3.3M |
| HNW Individuals | 46 | $127.0M |
| 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 | 5 | $97.4M |
| Other investment advisers | 10 | $88.1M |
| Insurance companies | <5 | $14.7M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $17.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-68608 |
|---|---|
| SEC ERA File Number | 801-68608 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120110 |
| Legal Entity Identifier | None |
Principal Office
423 CENTRAL AVENUENORTHFIELD
IL
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 312-281-2021, Fax: 312-726-1431
Chief Compliance Officer
THOMAS P. BERNARDI
SENIOR VICE PRESIDENT
423 CENTRAL AVENUE
NORTHFIELD
IL
United States
Tel:
312-281-2021
T********@*********************M
(Full email address available in API data)
Regulatory Contact
RONALD P. BERNARDI
CEO
423 CENTRAL AVENUE
NORTHFIELD
IL
United States
Tel:
312-281-2030
R********@*********************M
(Full email address available in API data)
Industry Affiliates
| BERNARDI SECURITIES, 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 |
|---|---|---|---|---|---|
| BERNARDI SECURITIES, INC. | Domestic Entity | – | MANAGING MEMBER/CORPORATIONS | 08/2000 | > 75% |
| BERNARDI, RONALD, PIACENTINI | Individual | – | PRESIDENT & CEO | 08/2000 | < 5% |
| LANDIS, MICHELLE, BERNARDI | Individual | – | SECRETARY | 05/2001 | < 5% |
| BERNARDI, RONALD, PIACENTINI | Individual | BERNARDI SECURITIES, INC. | PRESIDENT & CEO | 09/1984 | 50-75% |
| BERNARDI, THOMAS, P | Individual | – | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |
| BERNARDI, MATTHEW, P | Individual | – | VICE PRESIDENT | 12/2017 | < 5% |