SANDERS BOOZE CAPITAL ADVISORS, LLC
Adviser information for SANDERS BOOZE CAPITAL ADVISORS, LLC last updated from Form ADV on January 18th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | REFERRAL AND ADVISORY SERVICES |
|---|---|
| Compensation | Fixed feesREFERRAL FEES |
Identifiers
| SEC RIA File Number | 801-69729 |
|---|---|
| SEC ERA File Number | 801-69729 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148651 |
| Legal Entity Identifier | None |
Principal Office
5440 W 110TH ST.OVERLAND PARK
KS
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 913-663-2376, Fax: None
Chief Compliance Officer
RONALD SANDERS
CEO
5440 W 110TH ST
OVERLAND PARK
KS
United States
Tel:
913-663-2376
R**********@**********************M
(Full email address available in API data)
Regulatory Contact
JON BOOZE
SENIOR PARTNER
5440 W 110TH ST.
OVERLAND PARK
KS
United States
Tel:
913-827-1739
J********@**********************M
(Full email address available in API data)
Industry Affiliates
| ONE ADVISORY PARTNERS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SANDERS, BOOZE & COMPANY, INC. | Domestic Entity | – | MEMBER | 09/2008 | > 75% |
| BOOZE, JONATHAN, LAWRENCE | Individual | JONATHAN L BOOZE REVOCABLE LIVING TRUST | TRUSTEE | 01/2018 | > 75% |
| SANDERS, RONALD, NELSON | Individual | RONALD N. SANDERS REVOCABLE LIVING TRUST | TRUSTEE | 03/2021 | > 75% |
| BOOZE, JONATHAN, LAWRENCE | Individual | – | VICE-PRESIDENT | 11/2008 | < 5% |
| SANDERS, RONALD, NELSON | Individual | – | CEO/CCO | 11/2008 | < 5% |
| JONATHAN L BOOZE REVOCABLE LIVING TRUST | Domestic Entity | SANDERS, BOOZE & COMPANY, INC. | SHAREHOLDER | 01/2018 | 50-75% |
| RONALD N. SANDERS REVOCABLE LIVING TRUST | Domestic Entity | SANDERS, BOOZE & COMPANY, INC. | SHAREHOLDER | 03/2021 | 50-75% |