HAVEN WEALTH GROUP
HAVEN WEALTH GROUP LLC Legal Name
Adviser information for HAVEN WEALTH GROUP last updated from Form ADV on February 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 749 | $285.6M |
| Non-Discretionary | 0 | $0 |
| Total | 749 | $285.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 190 | $77.8M |
| HNW Individuals | 111 | $200.6M |
| 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 | $1.7M |
| Charitable organizations | <5 | $935,960 |
| 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 | 7 | $4.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFLAT FEE FOR FINANCIAL PLAN |
| Other Business Activities | CFA, CHARTERED FINANCIAL ANALYST |
Identifiers
| SEC RIA File Number | 801-69527 |
|---|---|
| SEC ERA File Number | 801-69527 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148099 |
| Legal Entity Identifier | None |
Principal Office
1111 NORTH LOOP WEST, STE 1110HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 713-980-8820, Fax: 713-980-8053
Chief Compliance Officer
ROSALIE GROENDES
DIRECTOR OF CLIENT RELATIONS
1111 NORTH LOOP WEST STE 1110
HOUSTON
TX
United States
Tel:
713-980-8820 X 5
Fax:
713-980-8053
R******@**********M
(Full email address available in API data)
Regulatory Contact
RICHEA POWELL
PRESIDENT & CEO
1111 NORTH LOOP WEST, STE 1110
HOUSTON
TX
United States
Tel:
713-980-8820
Fax:
713-980-8053
R*****@**********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 |
|---|---|---|---|---|---|
| POWELL, RICHEA | Individual | – | PRESIDENT & CEO | 07/2008 | 50-75% |
| CALVIN, WILLIAM, CHARLES | Individual | – | EXECUTIVE VICE PRESIDENT | 02/2010 | 10-25% |
| GROENDES, ROSALIE, M | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| Hebert, Crystal, Marie | Individual | – | CHIEF OPERATIONS OFFICER | 03/2010 | 5-10% |