SEMINOLE ADVISORY SERVICES, LLC
Adviser information for SEMINOLE ADVISORY SERVICES, LLC last updated from Form ADV on March 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $213.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $213.6M |
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 | 1 | $213.6M |
| 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 | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-69775 |
|---|---|
| SEC ERA File Number | 801-69775 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148975 |
| Legal Entity Identifier | None |
Principal Office
455 NORTH INDIAN ROCKS ROADSUITE B
BELLAIR BLUFFS
FL
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 727-331-8444, Fax: 727-331-8484
Chief Compliance Officer
KRISTOPHER A. DUNLOP
CHIEF FINANCIAL OFFICER, TREASURER AND SECRETARY
455 NORTH INDIAN ROCKS ROAD
SUITE B
BELLEAIR BLUFFS
FL
United States
Tel:
727-331-8439
Fax:
727-331-8484
K******@****************************M
(Full email address available in API data)
Industry Affiliates
| REAL ESTATE BROKER | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SEMINOLE MORTGAGE TRUST | Real Estate Fund | $213.6M | $0.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BANKS, ROBERT, JOSEPH | Individual | – | MANAGER AND CHAIRMAN OF THE BOARD | 06/2012 | < 5% |
| SEMINOLE HOLDINGS GROUP, LLC | Domestic Entity | – | MEMBER | 02/2009 | > 75% |
| BANKS, ROBERT, JOSEPH | Individual | ROBERT J. BANKS TRUST AGREEMENT DATED 6/19/91 | TRUSTEE | 06/1991 | |
| ROBERT J. BANKS TRUST AGREEMENT DATED 6/19/91 | Domestic Entity | SEMINOLE HOLDINGS GROUP, LLC | MEMBER | 10/2009 | 25-50% |
| FETTER, TIMOTHY, SAMUEL | Individual | SEMINOLE HOLDINGS GROUP, LLC | MANAGER AND CO-CHIEF EXECUTIVE OFFICER | 01/2012 | |
| DIAZ, CHRISTOPHER, GERARD | Individual | SEMINOLE HOLDINGS GROUP, LLC | MANAGER AND CO-CHIEF EXECUTIVE OFFICER | 01/2012 | |
| FETTER, TIMOTHY, SAMUEL | Individual | – | MANAGER AND CO-CHIEF EXECUTIVE OFFICER | 03/2019 | < 5% |
| DIAZ, CHRISTOPHER, GERARD | Individual | – | MANAGER AND CO-CHIEF EXECUTIVE OFFICER | 03/2019 | < 5% |
| DUNLOP, KRISTOPHER, ADAMS | Individual | – | CHIEF FINANCIAL OFFICER, TREASURER, SECRETARY AND CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
| DUNLOP, KRISTOPHER, ADAMS | Individual | SEMINOLE HOLDINGS GROUP, LLC | MANAGER AND CHIEF FINANCIAL OFFICER, TREASURER AND SECRETARY | 01/2024 | |
| Ritter, Joseph | Individual | SEMINOLE HOLDINGS GROUP, LLC | MANAGER AND EXECUTIVE VICE PRESIDENT | 02/2023 |