STRATEGIC WEALTH PLANNING
BLUM FINANCIAL, LP Legal Name
Adviser information for STRATEGIC WEALTH PLANNING last updated from Form ADV on March 12th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 614 | $133.0M |
| Non-Discretionary | 26 | $31.4M |
| Total | 640 | $164.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 107 | $13.0M |
| HNW Individuals | 73 | $150.5M |
| 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 | $940,000 |
| 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 | 15 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)ESTATE PLANNING & MANAGEMENT SERVICES; BUSINESS PLANNING & MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 117.3M |
| Portfolio Manager | 117.3M |
| Both for Same | 117.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED ACCOUNT PROGRAM | STRATEGIC WEALTH PLANNING |
Identifiers
| SEC RIA File Number | 801-69852 |
|---|---|
| SEC ERA File Number | 801-69852 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149134 |
| Legal Entity Identifier | None |
Principal Office
2929 NORTH CENTRAL EXPRESSWAYSUITE 200
RICHARDSON
TX
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 214-727-6000, Fax: 866-913-8315
Chief Compliance Officer
JENIFER S. BLUM
ATTORNEY
2929 NORTH CENTRAL EXPRESSWAY
SUITE 200
RICHARDSON
TX
United States
Tel:
214-727-6000
Fax:
866-913-8315
J****@**************M
(Full email address available in API data)
Regulatory Contact
STEPHEN J. BLUM
LIMITED PARTNER
2929 NORTH CENTRAL EXPRESSWAY
SUITE 200
RICHARDSON
TX
United States
Tel:
214-727-6000
Fax:
866-913-8315
S*****@**************M
(Full email address available in API data)
Industry Affiliates
| INVESTMENT ADVISORY, INSURANCE, ANNUITIES, FINANCIAL PLANNING | Other investment adviser, including financial plannersAccountant or accounting firmInsurance company or agencyPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Blum, Jenifer, S | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2013 | < 5% |
| BLUM, STEPHEN, JACOB | Individual | – | LIMITED PARTNER | 01/2006 | > 75% |
| BLUM MANAGEMENT GROUP, INC. | Domestic Entity | – | GENERAL PARTNER | 01/2006 | < 5% |
| BLUM, STEPHEN, JACOB | Individual | BLUM MANAGEMENT GROUP, INC. | PRESIDENT/SECRETARY/TREASURER | 01/2006 | > 75% |